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Project Document

SUPPORT TO ANTI – CORRUPTION EFFORTS IN KOSOVO II 2016 – 20201

Submitted to: Swiss Agency for Development and Cooperation (SDC) Danish International Development Agency (DANIDA)

Norwegian Ministry of Foreign Affairs (NOR)

1 The Theory of Change and RRF have been revised in 2018 to reflect a new

approach towards corruption suppression.

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UNITED NATIONS DEVELOPMENT PROGRAMME July 2015

Project Title Support to Anti-Corruption Efforts in Kosovo (SAEK) II

CDP Outcomes CDP Outcome 2.1: “Institutions responsible for delivering public services and social justice are accountable and responsive to rights holders”. CDP Outcome 2.2: “Key civil society actors increasingly influence the accountability of governance for public services and social justice”. CDP Outcome 3.1: “Target Municipalities have local governance mechanisms in place promoting human rights based development”

Indicative Funding Requirements

4.7 million EUR

Potential Sources of Funding

Swiss Agency for Development and Cooperation (SDC) Danish International Development Agency (DANIDA) Norwegian Agency for Development and Cooperation (NOR)

Expected start date

2016

Expected Duration

4 years (2020)

Project Partners Key beneficiaries: Kosovo Anti-Corruption Agency (KAA), Kosovo Judicial Council (KJC), Kosovo Prosecutorial Council (KPC), Office of Disciplinary Prosecutor (ODP), Municipalities of Pristina, Prizren, Gjilan/Gnjilane, and Gjakova/Djakovica, Key project partners: UNODC, Internews Kosova, GAP Institute, Association of Patients, and Transparency International Kosovo, Association of Kosovo Municipalities. Other stakeholders: National Council on Anti – Corruption, Assembly of Kosovo, Kosovo Judicial Institute (KJI), Kosovo Police (KP), Kosovo Bar Association (KBA), Kosovo Customs, Kosovo Police, Financial Intelligence Unit, Auditor General, Agency for Managing Seized & Confiscated Assets, Ministry of Local Government Administration (MLGA), Ministry of European Integration (MIE), Ministry of Justice (MoJ), Ministry of Education, Science and Technology (MEST), Ministry of Health (MoH), OSCE, EULEX, Council of Europe, European Union Office, UNESCO.

Geographic Coverage

Kosovo

Submitted by UNDP Kosovo

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List of abbreviations AoK Assembly of Kosovo

CoE Council of Europe

CSO Civil Society Organizations

DANIDA Danish International Development Agency

EC European Commission

EULEX EU Rule of Law Mission in Kosovo

EUO European Union Office in Kosovo

ODK Open Data Kosovo

GCK Girls Coding Kosova

GOPAC Global Organization for Parliamentarians against Corruption

HRBA Human Rights Based Approach

KAA Kosovo Anti-Corruption Agency

KIPA Kosovo Public Administration Institute

KBA Kosovo Bar Association

KJC Kosovo Judicial Council

KJI Kosovo Judicial Institute

KPC Kosovo Prosecutorial Council

MED Ministry of Economic Development

MEI Ministry of European Integration

MEST Ministry of Education, Science and Technology

MLGA Ministry of Local Government Administration

MoH Ministry of Health

MoJ Ministry of Justice

MPA Ministry of Public Administration

MYCS Ministry of Youth, Culture and Sports

ODP Office of the Disciplinary Prosecutor

SAEK Support to Anti-Corruption Efforts in Kosovo

SDC Swiss Agency for Development and Cooperation

SPRK Special Prosecutors Office of Kosovo

TI Transparency International

UNCAC United Nations Convention against Corruption

UNDP United Nations Development Programme

UNESCO United Nations Educational, Scientific and Cultural Organization

UNODC UN Office on Drugs and Crime

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TABLE OF CONTENTS

Table of Contents .......................................................................................................................................... 4

1. INTRODUCTION ..................................................................................................................................... 5

2. KEY ACHIEVEMENTS OF SAEK I ............................................................................................................. 8

Institutional level ...................................................................................................................................... 8

Sectoral level ........................................................................................................................................... 13

Municipal/local level ............................................................................................................................... 16

3. LESSONS LEARNED DURING SAEK I (2013 – 2015) .............................................................................. 21

4. SITUATION ANALYSIS .......................................................................................................................... 24

a. Context ........................................................................................................................................ 23

b. Stakeholder Analysis ................................................................................................................... 32

c. Anti–corruption architecture ...................................................................................................... 35

d. Project Rationale ......................................................................................................................... 35

f. UNDP’s Comparative Advantage ................................................................................................ 43

g. Theory of change ........................................................................................................................ 45

5. STRATEGIC CHOICES: Project outcomes and outputs ............................................................................. 43

OUTCOME I: Anti-corruption institutions in Kosovo provide more effective oversight on public

institutions. ................................................................................................ Error! Bookmark not defined.

OUTCOME II: Selected central and local institutions demonstrate principles of integrity and

transparency. ............................................................................................. Error! Bookmark not defined.

OUTCOME III: Improved execution of CSO’s and citizens’ rights on seeking public accountability and

transparency on the fight against corruption. ........................................... Error! Bookmark not defined.

2.4 Human rights and gender considerations ......................................................................................... 47

2.5 Partnership and donor coordination ................................................................................................ 48

6. MANAGEMENT ARRANGEMENTS ........................................................................................................... 51

Audit arrangements ................................................................................................................................ 55

Financial management ............................................................................................................................ 55

Intellectual property rights and use of logo ........................................................................................... 55

7. MONITORING FRAMEWORK AND EVALUATION ..................................................................................... 56

8. SUSTAINABILITY AND EXIT STRATEGY .................................................... Error! Bookmark not defined.

9. Legal context ....................................................................................................................................... 58

Annex 1: SAEK II Offline Risk Log ................................................................................................................ 70

Annex 2: SAEK II Partnerships ..................................................................................................................... 85

Annex 3: SAEK II Stakeholder Consultation ................................................................................................ 86

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1. INTRODUCTION

UNDP in Kosovo has been active in the area of anti-corruption since 2004 as part of the global programme on anti-corruption. The initial project, Kosovo Transparency Initiative (2004 – 2007), aimed at enhancing transparency and accountability in public services. One of the major outcomes of the project was the establishment of the Kosovo Anti-Corruption Agency (KAA), the first independent agency in Kosovo mandated to prevent and fight corruption. Subsequently, the Kosovo Partnership for Anti-Corruption (KPAC) project, which was implemented by UNDP Kosovo from 2009 - 2011, provided expert advisory services to the KAA in the area of conflict of interest, supported the improvement of legislation and manuals related to anti-corruption, conducted an assessment on institutional integrity and implemented awareness raising activities at the local level. KAA staff were provided with technical assistance mainly related to the implementation of the Law on the Prevention of Conflict of Interests. Support to Anti-Corruption Efforts in Kosovo (SAEK) I, funded by the Swiss Agency for Development and Cooperation (SDC), was built primarily upon the outcomes and recommendations of the previous UNDP projects and was designed to address corruption issues in a wider and deeper scope. Efforts of UNDP Kosovo, prior to SAEK, to address issues of accountability have been focused on strengthening the “supply-side” of democratic governance. SAEK I added an important feature which focusing onto the “demand side” of democratic governance through citizen and CSO engagement. When SAEK was designed, according to UNDP’s Public Pulse Report in 20132, citizens considered corruption the third largest problem in Kosovo, after unemployment and poverty. Therefore, strengthening the voice and capacity of citizens and CSOs to directly demand greater accountability from public officials and service providers, was an integral part of the project design. SAEK I, through an innovative and holistic approach towards anti-corruption, was developed to strengthen institutional transparency, accountability and integrity, with a particular focus on empowering citizens and improving their access to information. The project’s focus has been on three main levels of intervention, including the institutional, sectoral and municipal/local level. In doing so, the project has been working directly with central and local government authorities, the judiciary, civil society and the citizens themselves. Through the use of modern information and communication technologies, including social media, web 2.0 and mobile phone technologies, the project has harnessed the creativity, innovativeness and collaborative attitude of citizens interested in achieving a political change. The key results of SAEK I by 2016 are expected to cover its three main areas of intervention, respectively:

▪ Increased capacity of the KAA to monitor and prevent corruption in selected institutions, key service areas and municipalities;

▪ Citizens actively seek out transparency and accountability from public institutions and are better informed about local issues through social media;

▪ The judiciary’s ability to fight corruption internally and externally is increased. Various international reports have highlighted that the fight against corruption is of paramount importance for Kosovo. Its high economic and social costs can seriously undermine Kosovo’s development. Vigorous anti-corruption credentials are essential to strengthen the Government’s legitimacy and reputation at home, and beyond Kosovo’s borders by influencing the way the country is perceived internationally.

2 For more see http://www.undp.org/content/dam/kosovo/docs/Procurement/PPR6_Anglisht.pdf

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The European Commission’s Directorate-General for Neighborhood and Enlargement Negotiations (DG NEAR) has already understood the importance of the links between rule of law, the fight against corruption, good governance, public administration reform and economic recovery which was also reflected in the most recent strategy paper published in 2014 together with the Progress Reports for each of the Enlargement countries. The EC recently started applying the new methodology to the candidate states, deciding, Chapter 23: Judiciary and fundamental rights (including corruption) and Chapter 24: Justice, Freedom and Security will be the first to be opened and the last to be closed.3 As part of the visa liberalization process requirements, Kosovo institutions have to shed light on the number of final convictions, including high level corruption, the level of sanctions, and number of cases detected in public administration. They must also show the follow up given to them, the way tools such as asset declaration systems are being used, the number of cases of inexplicable wealth discovered through asset declarations and verifications, and the number of cases of conflict of interest. Moreover, information should be provided on the implementation of recommendations deriving from international reports such as the assessment conducted by Group of States Against Corruption (GRECO), Transparency International National Integrity System (NIS) and Corruption Perception Index (CPI), United Nations Convention Against Corruption (UNCAC) Review, and so forth. Therefore, SAEK’s support to Kosovo’s efforts to fight corruption comes at a time when it is most needed, particularly in view of Kosovo’s approximation of policies and legislation to the EU acquis communautaire.

ACTIVITY ACTIONS UNDERTAKEN

Corruption Risk Assessments

Education Developed jointly with Anti-Corruption Agency and UNESCO International Institute for Educational Planning. Endorsed by Ministry of Education. Anti-Corruption lectures started in high schools of Municipality of Pristina as a pilot and testing initiative; to be replicated in other municipalities. Municipality of Pristina depoliticized process of recruitment of directors and teachers in schools.

Health Developed jointly with Anti-Corruption Agency and U4 Anti-Corruption Platform/Boston University on Public Health. Endorsed by Ministry of Health.

Energy and Mining Developed jointly with Anti-Corruption Agency. Endorsed by the Ministry of Economic Development. Support to Kosovo’s bid in Extractive Industries Transparency Initiative (EITI) ongoing.

Judicial Integrity Developed jointly with UNODC. Endorsed by Ministry of Justice, Prosecutorial and Judicial Council. Judges and Prosecutors trained on code of ethics, advanced investigative techniques, and capacities increased on fighting corruption internally and externally. Office of the Disciplinary Prosecutor supported with additional staff to proceed more cases on misconduct of judges and prosecutors.

Corruption in Recruitment in Civil Service

Developed jointly with UNDP Istanbul Regional Hub. Endorsed by Council of Europe’s Group of States Against Corruption.

Integrity Plans Municipality of Pristina Developed jointly with Anti-Corruption Agency and Municipality of Pristina administrative and political leadership. Developed e-recruitment online platform and e-spending. Depoliticized process of recruitment of directors and teachers in schools.

3 Sabine Zwaenepoel (2014) EU Enlargement process: Driver of good governance in South-East Europe. International conference in Tirana, Albania on Trends and Challenges in Implementing Anti-corruption Strategies.

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Municipality of Gjakova/Djakovica

Developed jointly with Anti-Corruption Agency and Municipality of Gjakova/Djakovica administrative and political leadership. In the process of development of e-recruitment online platform and e-spending.

Municipality of Gjilan/Gnjilane

Developed jointly with Anti-Corruption Agency and Municipality of Gjilan/Gnjilane administrative and political leadership.

Coordination Kallxo.com with anti-corruption bodies

Monthly regular meetings with anti-corruption bodies to follow-up on cases submitted to kallxo.com.

Tracking mechanism on cases on corruption

Database established within the premises of the Prosecutorial Council to collect all cases on corruption from anti-corruption bodies.

Anti-corruption bodies Coordination established within Anti-Corruption Agency, Prosecution, and Police. Regulars meetings held.

Awareness Raising and Education

Local and central institutions

Anti-corruption talks with schools, ASK campaign to local municipal leadership, campaign to mark Anti-Corruption Day and December 9.

Public Procurement

Opening up procurement data for the 2011 – 2013 period

Organized jointly with Open Data Kosovo in municipalities of Prishtina/Pristina, Gjakova/Djakovica, Ferizaj/Urosevac, Gjilan/Gnjilane, Hani i Elezit/Elez Han and Viti/Vitina

Regional Cooperation

Regional Anti-Corruption Initiative

Signed an agreement with RAI to facilitate Kosovo anti-corruption bodies participation in regional mechanisms.

SDC conducted an external progress review of SAEK l in April 2015. It found that SAEK is relevant to the development challenges in the field of anti-corruption. It focuses on demand and supply sides through transparency initiatives and institutional capacity development. Its activities are complementary to those of other donors in some elements, builds on existing good contacts with Kosovo institutions and uses mechanisms to collaborate and avoid overlaps. In relation to future work, several recommendations were delivered by the review, among which:

• Integrity Plans are identified as an important pillar of future assistance to continue with;

• Development of transparency tools and partners ownership over them is recommended;

• Support to be continued to kallxo.com in its activities centrally and additionally to include both decentralization of activities to large regional towns;

• UNDP should focus on those areas where it has a comparative advantage, technical competence and credibility to drive change;

• Coordination in the sector needs to be improved;

• Programming of future assistance needs to be based on a clear theory of change. UNDP, under the auspices of the current SAEK project have conducted two consultation workshops with all stakeholders (KAA, KPC, KJC, ODP, MoJ, Partner municipality representatives and partner CSOs)4. Significant degree of commitment and ownership was demonstrated during consultation process for the SAEK ll that confirms their significant engagement in the joint project implementation of SAEK current phase. Discussions were tailored around lessons to date from the current project, challenges and opportunities for the next phase and possibility to reach out to more stakeholders at all levels of governance. It’s been agreed that SAEK ll will be delivered under the leadership of partner institutions in Kosovo with direct support of UNDP team.

SAEK ll

4 For more information please see attached the Consultation with stakeholders minutes)

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SAEK II is designed based on these report recommendations, achievements of SAEK I and the feedback obtained from consultation5 with the partners, beneficiaries and stakeholders, to address both the supply side (the capacity building of anti-corruption institutions) and the demand side (the empowerment of the civil society and citizens). An inclusive approach in addressing both of these areas will ensure that the overall impact of the intervention is achieved: institutions with strengthened capacities will be able to better perform their functions and mandate, also due to the increased demand of the public for transparency and accountability, which will result in the desired change; lower corruption, increased public trust and decreased perception of corruption. SAEK II main focus will be to address administrative corruption rather than grand corruption, although reducing the incidence and tolerance of the former will help reduce the latter. Three outcomes are expected under the framework of SAEK ll:

1. Anti-corruption institutions in Kosovo provide more effective oversight on public institutions, through development of institutions to better monitor, prevent and fight corruption, development of policy, legislation and strategy in line with international Convention and strengthening of the parliament oversight of Anti-corruption agency.

2. Selected central and local institutions demonstrate principles of integrity and transparency through development of integrity planning and central and local level and new tools for public transparency in selected institutions.

3. Improved execution of CSO and citizens’ rights on seeking public accountability and transparency on the fight against corruption, through strengthening of civil society for improved accountability and transparency on fight against corruption as well as increase the awareness of citizens on their rights and responsibilities on public transparency and accountability.6 The theory of change for all three outcomes and related outputs is described in specific section in this document as well as detailed description of activities and interventions. The project will engage closely with key public institutions, civil society organisations and citizens. With the proposed new phase it is expected to further strengthen anti-corruption efforts in Kosovo and build on achievements of ongoing SAEK project.

2. KEY ACHIEVEMENTS OF SAEK I SAEK activities are aligned with Kosovo’s Anti-Corruption Strategy for 2013 – 2017, as well as the Anti-Corruption Action Plan 2013 – 2017 to ensure highest commitment from the government to participate and facilitate the implementation of the project. Results are spread throughout SAEK I in three components with the aim of strengthening institutional transparency and integrity, and turning citizens into agents of change as active participants in decision-making processes. Institutional level

a. Coordination

5 Two separate sessions of consultation with partners have taken place in identifying the needs, challenges and possible interventions, in February and May, 2015, respectively; see annex 3 6Women, youth, minorities, and people with disabilities and special needs

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The institutional architecture for tackling corruption includes 11 bodies mandated to prevent, fight and raise awareness on corruption. SAEK I has established collaboration with all 11 bodies: National Council on Anti-Corruption (chaired by the President’s Office), Kosovo Anti-Corruption Agency, Kosovo Prosecutorial Council, Kosovo Judicial Council, Office of the Disciplinary Prosecutor, Kosovo Customs, Kosovo Police, Financial Intelligence Unit, Agency for Administration of Sequestrated or Confiscated Assets, Tax Administration, and European Union Rule of Law Mission in Kosovo (EULEX). As noted repeatedly in the EC Progress Report for Kosovo, Kosovo needs to strengthen coordination and inter-institutional cooperation of the anti-corruption bodies. For this purpose, SAEK undertook several initiatives to strengthen the coordination and facilitate information exchange on the status of preventing and fighting corruption. Moreover, joint meetings have helped to shed light on the number of cases received by various institutions, information that was considered crucial for knowing why the fight against corruption is lagging behind. Under the leadership of the Anti-Corruption Agency and with assistance of SAEK the first joint consultation with the Kosovo Prosecutors Office, Heads of seven Regional Basic Prosecutions Offices, and the Kosovo Police Economic Crimes and Corruption Investigation Directorate was held. Initiation of cooperation between the Agency, the Prosecution and the Police was crucial in order to build sustainable and functional capacities in Kosovo. Supporting efforts for greater visibility and effectiveness among anti-corruption mechanisms is also necessary to strengthen the trust of citizens in institutions. As a result of this meeting, the seven Basic Prosecution Offices have appointed focal points for the purpose of strengthening the collaboration at all stages of investigations in suspected cases of corruption, with the aim of increasing efficiency in the fight against corruption in Kosovo. The lack of data on corruption cases received by the Agency, Prosecution, Courts, Customs, and Police has made it difficult to assess the level of reported corruption by citizens as well as to assess the performance of prosecution and judiciary in processing these cases. SAEK I has assisted the Prosecutorial Council’s Office of Data Harmonization in 2013 in functionalizing a tracking mechanism to harmonize statistics on specific criminal offences, particularly corruption cases. Hitherto, there was no mechanism to coordinate statistics from different anti-corruption bodies. This database is providing the possibility to assess whether there has been an increase of corruption cases identified and brought to investigation and conviction at the local or national level. Moreover, the decision, made in 2014 by the Chief Prosecutors Office, which obliges prosecutors to prioritize cases on corruption, results of which are measured through the Prosecution Performance Report, was directly supported by SAEK. The results are as follows: In 2013 and 2014, 3659 cases were received for all 7 categories (please see Table 1). Of these, 1755, or 48%, are related to corruption. Specifically, during 2013, there were 778 cases of corruption reported, out of which 314 have been solved (convicted or dismissed with a clear and publicly available explanation). In 2014, the number of cases reported was 976, out of which, 444 have been solved.7 As a result, almost half of the cases are being solved (convicted or dismissed with a clear and publicly available explanation) within a year due to the reporting mechanism established for prosecutors. Secondly, the inter-institutional tracking mechanism on harmonization of statistics for characteristic criminal offences is made public to increase citizens’ awareness of the work being conducted by anti-

7Kosovo Prosecutorial Council (2015) Inter-institutional tracking mechanism on harmonization of statistics for characteristic criminal offences http://www.psh-ks.net/repository/docs/Comparative_report_2013-2014.pdf

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corruption institutions. Thirdly, it can be concluded that after the reports from the tracking mechanism were made public, the number of cases reported by citizens has increased. This can be used as a measure of a slight increase of citizens’ trust in rule of law institutions. Figure 1: Number of criminal charges for characteristic criminal offences for 2013/2014

Figure 2: Number of criminal charges against persons for criminal offences of corruption

Source: Kosovo Prosecutorial Council (2015) SAEK has supported citizen engagement and reporting of corruption, through the platform kallxo.com, as it has been observed that citizens are more inclined to report potential cases of corruption to a non-institutional body rather than to institutions who are mandated specifically to fight corruption. In order to improve the reporting mechanism and the follow-up of cases submitted to www.kallxo.com, SAEK has established a coordination mechanism consisting of all anti-corruption bodies, including: National Anti-Corruption Council, KAA, Kosovo Judicial Council, Kosovo Prosecutorial Council, EULEX, Kosovo Police, Kosovo Bar Association, Office of the Disciplinary Prosecutor, Office of the General Auditor (as observer), Financial Investigation Unit, and Agency for Sequestration and Confiscation of Seized Assets. Since 2014, the coordination mechanism for Kallxo, under the direction of SAEK, meets on a regular basis with the aim of enhancing communication and cooperation between rule of law institutions and the kallxo.com platform. Cases reported in kallxo.com, after being verified, are usually submitted to the relevant institutions, in particular the Police, Prosecution or the Anti-Corruption Agency. Through these meetings, Kallxo receives information on the status of cases already submitted and reports back to citizens who have trusted the platform with important information.

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The SAEK project team has been the driving force behind the first initiatives in Kosovo on open data, which have included opening up government data, its re-use and awareness raising activities. To improve coordination, SAEK has established the 1st Donor Coordination Mechanism on Open Data. The first meeting was convened in 2015 with representatives of central and local institutions, public procurement offices, CSOs, and private companies. SAEK has established Task Force groups for key sectors perceived to be the most corrupt. Once a draft assessment is completed, the SAEK team invites all the partners for a joint discussion on the main findings and to ensure that everyone is informed of developments in the sector and to see the potential for a holistic intervention by various partners. To date, the SAEK team has organized four Task Force Meetings to present findings and recommendations on health, education, energy & mining, and judicial integrity. Members of the Task Force include: Kosovo Assembly, central and local governments, CSOs, media and the private sector. To maintain effective coordination between all key stakeholders in this area will be one of the important tasks of this project. While the project will continue to facilitate communication between them in various forums, the challenge to meet will be to embed mechanisms within key Kosovo institutions relevant to anti-corruption. This will be addressed through the National Anti-Corruption Council meetings, who will be regularly briefed about activities of all players in the area, their relevance, their focus in terms of institutions and provide advise how government bodies can take on a more proactive role in coordination of inputs in anti-corruption efforts.

b. Strengthened capacities to fight corruption internally & externally As the key institution mandated to prevent corruption and educate citizens on the overall negative impact of corruption in Kosovo, the Anti-Corruption Agency is SAEK’s main beneficiary. SAEK has assisted KAA to address requirements deriving from the Anti-Corruption Strategy 2013 – 2017. To date, 54%8 of the Strategy requirements have been addressed or completed. SAEK has supported KAA in strengthening its oversight function regarding the implementation of the Strategy and the Action Plan. Joint meetings have been organized with central and local level institutions, CSOs and journalists, to track the progress of the implementation of the strategy and to review the Anti-Corruption Action Plan 2013 – 2017. SAEK has also bolstered KAA’s analytical capacity to conduct risk assessments in sectors considered most vulnerable to corruption (please see the section below). Moreover, SAEK has supported the improvement of the quality of pre-investigation reports to ensure better follow-up by prosecution. This is done through tailor made trainings provided by prominent anti-corruption practitioners from the U4 Anti-Corruption Resource Center9, Central and Eastern European Law Initiative (CEELI) Institute10, and the Regional Anti-Corruption Initiative. To better address the needs of the judiciary and prosecution in strengthening their capacities for fighting corruption internally and externally, during 2014 SAEK, jointly with UN Office on Drugs and Crime

8EC (2014) Kosovo Progress Reporthttp://ec.europa.eu/enlargement/pdf/key_documents/2014/20141008-kosovo-progress-report_en.pdf 9U4 is a web-based resource center for development practitioners who wish to effectively address corruption challenges in their work, supported by various donors and governments worldwide, including SDC. For more see http://www.u4.no/ 10The CEELI Institute, headquartered in Czech Republic, is an independent, non-profit organization dedicated to providing training, exchanges, and education to legal professionals. For more see http://ceeliinstitute.org/

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(UNODC), undertook the first assessment in Kosovo on Judicial Integrity11. Article 11, paragraph 1 of the UN Convention against Corruption (UNCAC) requires the signatory parties to the Convention to “take measures to strengthen integrity and to prevent opportunities for corruption among members of the judiciary”. In support of the implementation of Article 11 on judicial integrity, UNODC and UNDP through SAEK I are implementing capacity building activities to enhance the internal capacities and mechanisms of the judiciary in Kosovo for investigating internal cases of corruption and disciplining judges and prosecutors with regard to corruption offences. They are also increasing the ability of the judiciary to investigate and prosecute cases of corruption externally (i.e. outside the judiciary). 10 (ten) workshops have been organized up to date, with UNODC international experts and EULEX representatives in Kosovo. The focus has been related to Enhancing Cooperation and Communication between Anti-Corruption Investigation and Prosecution bodies in Kosovo; International Best Practices in the Disciplinary Functions of Judicial Bodies: Increasing Independence and Efficiency in the Disciplinary Process; Application of the Kosovo Judicial Code of Ethics and Conduct: From Theory to Practice; and The Role of Disciplinary Investigators: Core Skills and Competencies. Once the cycle of trainings and workshops is completed in 2015, SAEK will evaluate the impact of these capacity building activities for the three main benefiting partners: Prosecutorial Council, Judicial Council, and Office of the Disciplinary Prosecutor (SDC External Review of UNDP SAEK Recommendation 5)12.

c. Anti-Corruption regional mechanism & cooperation Kosovo is not a signatory party of the main international conventions on anti-corruption (UN Convention against Corruption, Council of Europe Criminal Law Convention on Corruption and Civil Law Convention on Corruption, OECD Anti-Bribery Convention). Moreover, Kosovo has not been part of international or regional mechanisms on anti-corruption. Through SAEK’s support, the Anti-Corruption Agency now enjoys the observer status in the Regional Anti-Corruption Initiative (RAI)13, a regional inter-governmental organization consisting of representatives of Albania, Bosnia and Herzegovina, Bulgaria, Croatia, FYR of Macedonia, Moldova, Montenegro, Romania and Serbia. The agreement between SAEK and RAI has enabled Kosovo anti-corruption institutions (including the Prosecutorial Council and Ministry of Justice) to benefit from a regional framework for coordination, optimization of efforts and permanent dialogue with the RAI member states involved in the fight against corruption. Regional meetings where anti-corruption institutions have participated since the singing of the MOU have been held in Albania, Montenegro, Macedonia, Romania, and Croatia, on topics varying from whistleblower mechanisms, corruption prevention techniques, corruption risk assessments and integrity plans. Participation in regional meetings have provided a window of opportunity for Kosovar institutions to present their work, to share successful initiatives, network with their peers from other courts, and learn from good practices in the fight against corruption. Because of regional collaboration and highlighting Kosovo in the area of anti-corruption, SAEK has been able to establish cooperation with the Organization for Economic Cooperation and Development (OECD) and Regional Cooperation Council (RCC) to assist in data collection on quantitative & qualitative on anti-

11 For more info see www.ks.undp.org/content/dam/kosovo/docs/SAEK/UNDP%20UNODC%20Report%20on%20Judicial%20Integrity_Eng.pdf 12 Training performance assessments to be developed by UNODC during SAEK I 13 RAI, with its Secretariat based in Sarajevo (Bosnia and Herzegovina), is a regional inter-governmental organization initially adopted in February 2000, as Stability Pact Anti-corruption Initiative (SPAI), solely dedicated to the fight against corruption as one of the most serious threats to the recovery and development of the South East European countries. For more see www.rai-see.org

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corruption indicators from Kosovo for progress monitoring related to the implementation of the SEE 2020 Strategy14. Collection of data was conducted under the leadership of Anti-Corruption Agency and with the assistance of 10 other anti-corruption bodies, which resulted in a joint conference in Kosovo where RAI, RCC, and OECD representatives presented the main findings, emphasizing the need for corruption proofing of legislation and more corruption risk assessments. For this purpose, SAEK has provided expert advice to the RCC & RAI commissioned Comparative Study: Anti-Corruption Assessment of Laws (Corruption Proofing) 2014. The term corruption proofing of legislation is new to Kosovo. During the meeting in Montenegro in 2014, where SAEK supported the participation of KAA and the Ministry of Justice, institutions gained knowledge on defining corruption proofing of legislation, and become familiar with existing practices in South East Europe (i.e. Serbia, FYR of Macedonia) and beyond. Corruption proofing tackles “regulatory corruption risks”, which are existing or missing features in a law which can contribute to corruption, no matter whether the risk was intended or not. The method of corruption proofing can take many forms: draft laws or enacted laws, statutes or regulations (for more please see Outcome I, Intervention 1.1.5). Moreover, SAEK has provided expert advice to another study conducted by RCC & RAI on a joint SEE Methodology on Corruption Risk Assessments. This assessment focused on the existing practices of risk assessment in SEE, including Kosovo, as well as on an analysis of these experiences versus the existing practices in the EU and beyond. National Action Plan for Kosovo’s bid to the Open Government Partnership (OGP)15 has been developed with support of SAEK. OGP was launched in 2011 to provide an international platform for domestic reformers committed to making their governments more open, accountable, and responsive to citizens. OGP consists of 65 participating countries where government and civil society are working together to develop and implement ambitious open government reforms. In Kosovo, the working group is led by the Ministry of European Integration (representing institutions) and by FOL Movement (representing civil society). Sectoral level While approaching corruption from a holistic angle is preferable, a targeted approach, which identifies priorities, has helped SAEK to deliver practical results in critical problem areas. Sectoral anti-corruption interventions, such as in education, health, and energy are aimed mitigating corruption risks related to these sectors, and integrate transparency and accountability in the management of resources (human & capital) and governance reforms. However, what we have experienced during the development of such assessments is lack of knowledge across sectors commonly referred to as the ‘missing middle’. While there is expertise required in the area of anti-corruption, it is often hard to find an expert with knowledge of both anti-corruption and a particular sector (i.e. health).

d. Education Therefore, to conduct the first Corruption Risk Assessment in Education Sector, SAEK has partnered with UNESCO International Institute for Educational Planning (IIEP) to better understand corruption bottlenecks in the sector through focusing on three main domains: (i) formula funding; (ii) teacher

14The goal of the SEE 2020 strategy of the RCC, is to improve living conditions in the region and bring competitiveness and development back in focus, closely following the vision of the EU strategy Europe 2020. For more see http://www.rcc.int/pages/62/south-east-europe-2020-strategy 15For more see http://www.opeCSOvpartnership.org/

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management; and (iii) procurement. The assessment revealed that there is discrepancy in the implementation of the financial formula for allocating funds for schools from the central to local level. There is a continuing trend of politicizing the process of recruitment of management and teaching staff at all levels. It has been common practice for new government leadership to appoint new directors of schools once in power, and in most of the cases new directors are politically related to the ruling party. The process of selecting teachers at all levels has been politicized too, including the recruitment process involving the Municipal Department for Education and the respective director of the school seeking a new teacher/s. Moreover, public officials continue to be engaged as university lecturers. Regarding the third domain assessed, political influence and intimidation in procurement procedures continues to be a main issue in the education sector. For instance, the autonomy of University of Prishtina in conducting procurement has weak control mechanisms, there is a high level of corruption risk at each of the stage of the bidding process, and the winner of the bid is selected on subjective grounds (political consideration, favoritism, bribes, etc.), substandard university buildings/equipment is often provided by contractors, and the supply of less equipment than paid for or of inferior quality is disregarded by the administration. To address the recommendations of the assessment, SAEK in collaboration with the Ministry of Education, Science and Technology (MEST) and the Municipality of Prishtina/Pristina Department of Education, is implementing several activities. Respectively, Recommendation 2: To help the municipality of Prishtina/Pristina standardize new procedures in the area of staff recruitment (school directors and teachers) is being addressed by the development on the online platform http://erekrutimi.net/ (e-recruitment) which be launched in June 2015. This platform will help the municipality to develop standardized tools, such as: announcements that clearly set the criteria and requirements for the position; interviewing protocols proving that they have selected the best candidates; list of transparent and regular criteria for short listing and appointing procedures; regulations specifying the new composition of selection committees; and clear and concise terms of references for the school directors and teachers once recruited. This will also help the municipality standardize processes in the long run, and share its experience with all other Kosovo municipalities. Gjakova/Djakovica municipality has already expressed its interest in adopting this platform and incorporate it into their own website as well. In addition, Recommendation 4: “To develop a training module on how to improve ethical behavior among school actors”, is already being piloted within 14 (fourteen) high schools in Prishtina/Pristina. Senior students, social science teachers and directors of schools have participated in anti-corruption lectures conducted by Kosovo Police, the Prosecutor’s Office, Anti-Corruption Agency, the Basic Court of Prishtina/Pristina, Kallxo.com investigate research unit, and the Assembly of Kosovo’s Committee on Legislation and Oversight of the Anti-Corruption Agency. The aim of these lectures was to raise awareness on the role and responsibilities of anti-corruption bodies (and CSOs) as well as to educate the youth on their rights to demand transparency and accountability. MEST has already expressed interest in integrating anti-corruption education into the existing curricula without requiring additional hours for education and using the existing programs, manuals and methodological tools (follow up through SAEK II, please see Outcome I for more information).

e. Health The Corruption Risk Assessment in Healthcare in Kosovo, similarly, required international expertise. SAEK has teamed up with the U4 Center and the Boston School of Public Health to understand how corruption manifests itself in the healthcare system and where corruption risks exist in this sector in order to devise

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strategies to address the underlying governance and anti-corruption bottlenecks. The risk assessment focused on 3 (three) main domains: i) Institutional framework for anti-corruption, transparency and accountability, including internal audit and oversight mechanisms, relevant rules and regulations, and ethics framework; ii) Measures for transparency and accountability as well as practices in the procurement process at the Ministerial and local / service level; iii) Presence of other forms of corruption among the health practitioners at the service level such as absenteeism, embezzlement of public properties, inappropriate referral of patients to private services, among others. Results showed that informal payments were made outside official fees for services or supplies. In addition, the healthcare system has personnel issues, including private practice by public employees outside allowable bounds, and inappropriate shifting of patients to the private sector, which has been difficult to address and to control by the Ministry of Health. One of the biggest concerns identified was corruption in procurement and theft of drugs.16 To implement measures to address the findings of where corruption risks lie, SAEK has signed a Memorandum of Understanding with the Ministry of Health. Specifically, SAEK is currently implementing Recommendation 4: Controlling absenteeism and referral of patients from public to private clinics. In a joint pilot project with the Ministry of Health, University Clinical Center of Kosovo, the Association of Patients, 2 (two) offices of the Ombudsperson for Patients’ Rights have been established in Prishtina/Pristina and Prizren. The purpose of these offices is i) to raise awareness of citizens on their rights and ii) in case there is a referral of doctors from public clinics to private ones, or there is a prescription to buy a specific drug of a specific company, then patients file a report (anonymity preserved) and submit it for processing to the Department for Inspectorate at the Ministry of Health. The offices, opened in May 2015, have already received a number cases from patients.

f. Energy and Mining The energy and mining sector ranked number three in the sectors perceived to be most affected by corruption according to citizen surveys (UNDP Public Pulse). The energy sector is different from education or health due to the complexity of its nature and the different set-up of its institutions. In order to assess what domains could be specifically targeted through SAEK’s support; the team has conducted a general mapping of corruption risks in the energy and mining sector. This focused on i) legal framework for energy/mining sector in Kosovo, with particular emphasis on the mandate, roles and responsibilities of each relevant institution; and ii) analysis of potential corruption risks in the sector. When the energy sector is mentioned, citizens associate it immediately the Kosovo Energy Corporation (KEC), which is the biggest facility within the energy and mining sector. KEC power plants operate on lignite (dirty coal). Kosovo is the third largest place in Europe rich with coal (after Germany and Poland). Nonetheless, Kosovar cities still face electricity shortages, after privatization of the KEC distribution network, the price of electricity has increased, and opportunities for alternative energy by either local or international investors have not been supported. Moreover, public procurement in KEC is believed to be a strong source for corruption. The minimum amount of any procurement activity is above 5 million €. In the year 2013 alone, KEC has conducted 467 procurement activities, with an amount of over 53 million

16UNDP Kosovo (2014) Corruption Risk Assessment in Health Sector in Kosovo. For more info see http://www.ks.undp.org/content/kosovo/en/home/library/democratic_governance/saek-corruption-risk-assessment-in-health/

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€17, mostly through one source tendering. This has allowed room for mismanagement of public funds. Lack of implementation of legislation was noted too. There is a lack of coordination between the energy and mining authorities, whereas findings show that there are no standardized procedures on the publication of data, which contributes to the lack of transparency and accountability. To address the issue of corruption in mining specifically, SAEK I based Corruption Risk Assessment in Extractive Industries on the methodology developed by UNDP HQ. This assessment will lay down the main obstacles in tackling corruption in this sector and pave the way for Kosovo to apply for membership in the Extractive Industries Transparency Initiative (EITI).18 The Ministry of Economic Development, Department for Energy is already informed of the EITI process and its requirements. SAEK will be supporting the Department for Energy and assisting Kosovo’s bid to attain membership in this global coalition.

g. Civil Service and Gender Equality Based on the Group of States against Corruption (GRECO) and UNDP Istanbul Regional Hub (IRH) developed a methodology on how corruption affects women and men in civil service, SAEK has conducted an assessment on Gender Equality Related Corruption Risks and Vulnerabilities in Civil Service in Kosovo19. The Assessment was conducted for both levels of civil administration, including all 18 (eighteen) ministries and 38 (thirty-eight) municipalities with the purpose of identifying gender corruption risks and vulnerabilities from a gender specific perspective, aiming to assist Kosovo institutions in addressing the underlying governance and anti-corruption bottlenecks. Findings confirm that there is a general belief that men are more prone to corruption because they hold more senior positions than women, and as a result, have more access to resources. Findings also confirm that recruitment procedures are not fully transparent and promotion procedures adhering to existing rules and regulations in place are not mainly respected. According to the assessment results affected individuals of corruption in recruitment in civil service are mainly women. Mechanisms should be strengthened to encourage women to report corruption and also guarantee anonymity (For follow-up on recommendations of this assessment please see SAEK II, Outcome 1, Intervention 1.2.3). Municipal/local level SAEK’s focus on local government was designed in particular to address the limited participation of citizens in local decision making and weak, non-transparent municipal governance, as major concerns for effective local governance in Kosovo. When SAEK was designed, the UNDP Kosovo 2012 MOSAIC Report20analyzed whether citizens feel that representatives of their municipality take into account their opinions and considerations while deciding on issues concerning the municipality. On average across Kosovo, 50% of respondents perceive that their municipal representatives take their opinions into consideration to some extent, and 38% perceive that the municipal authorities take no consideration of their opinions and

17Based on the interviews held with KEK representatives during the assessment 18EITI is a global standard to promote open and accountable management of natural resources. It seeks to strengthen government and company systems, inform public debate, and enhance trust. In each implementing country it is supported by a coalition of governments, companies and civil society working together. For more see https://eiti.org/eiti 19For more see the full assessment http://www.ks.undp.org/content/kosovo/en/home/library/democratic_governance/gender-equality-related-corruption-risks-and-vulnerabilities-in-.html 20For more info see http://www.lr.undp.org/content/dam/kosovo/docs/Mozaik/Kosovo_Mosaic_2012_Eng_735317.pdf

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considerations. Moreover, 34% of the citizens were dissatisfied with services that their respective municipalities provide21 and 30.1% of the population perceives corruption in local governments22. To address the gap between local governments and their citizens, SAEK has designed innovative approaches to strengthen both the supply and demand side. A key part of the approach, that SAEK has supported, is the introduction of integrity plans, a vital part of the Anti-Corruption Strategy 2013 – 2017. Integrity Plans are developed to assist institutions in systematically addressing integrity risks, with the goal of strengthening institutional resistance to corruption and thus, reducing corruption levels. SAEK, jointly with KAA, have been assisting 3 (three) municipalities so far to develop such plans in identifying areas most vulnerable to corruption and to install an integrity plan in municipal daily work. The Municipalities of Prishtina/Pristina, Gjakova/Djakovica, and Gjilan/Gnjilane have established working groups led by Mayors themselves to ensure local ownership of the process. Having Integrity Plans adopted does not represent the end goal of the initiative. They are part of the process of drafting and newly acquired skills and capacities of municipal staff to mitigate corruption. In the process of drafting, municipalities have acquired a new tool/mechanism that enabled them to deliver better services to citizens based on improved responsiveness, effectiveness and access Key to this endeavor is its learning aspect. The plan is a dynamic document; it is a roadmap for self-correction and learning that municipalities can initiate whenever they believe that the reality on the ground has changed and therefore they can adapt the Plan to new conditions. This makes this process a sustainable one, as municipalities have installed in-house capacities to complete the process of drafting an Integrity Plan, to devise policies to address corruption vulnerabilities, and to monitor the implementation of the public integrity mechanisms. Every municipality is obliged to report to citizens every 6 (six) months after the adoption of the Plan, to provide information on the status of progress against recommendations committed to implement (See SAEK II Outcome I, Intervention 1.1.3 on the monitoring of implementation of Integrity Plans).

a. Open data, innovation, and social media tools SAEK has been the driving force behind the first initiatives in Kosovo on open data, which have included opening up government data, its re-use and awareness raising activities. Seeing the potential that it has in Kosovo, the team streamlined more of their efforts towards piloting and promoting open data activities. A key achievement was the opening up of procurement data, jointly with Open Data Kosovo in Prishtina/Pristina, Gjakova/Djakovica, Ferizaj/Urosevac, Gjilan/Gnjilane, Hani i Elezit/Elez Han and Viti/Vitina. Municipalities provided re-usable files with the list of public procurements for 2011, 2012 and 2013. The database contains information about the amount of the winning bids, the envisaged cost of the tender by the municipality, the name and the location of the winning company. Through a series of computer science and software engineering workshops (boot camps) with students of University of Prishtina/Pristina, the procurement data was visualized to become more user-friendly and easier to analyse http://opendatakosovo.org/app/vizualizeri-i-prokurimeve. Graph 1: E-procurement platform, value of contracts by 7 municipalities during 2013

21Ibid. p.50 22 Ibid, p.12.

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Moreover, in order to provide technological solutions to municipal problems, SAEK organized the first application challenge with Municipality of Prishtina/Pristina. This challenge organized in 2014 had drawn attention and gathered tens of youngsters to become engaged in the processes of decision making at the municipal level. As a result, two applications are being developed: e-recruitment (mentioned in the Education section above) and e-spending, which is in the final process of design (the municipality will publish its expenditures in real time on their website through the application developed for this purpose). The software promises to digitalize the process of recruitment in the Municipality and shed light on municipal spending, thus narrowing the space for nepotism, corruption and favouritism. The innovation challenge brought together local government, the tech community and the private sector, pioneering a new form of cross-sectoral cooperation for social good in Kosovo. In addition, this is the first innovation challenge on governance in the Western Balkans to be designed in close cooperation with and based on the needs of a public institution. As expected, the challenge has sparked the interest of other municipal leaders including Gjilan/Gnjilane and Gjakova/Djakovica. The SAEK project team is cooperating with the DEMOS team, another SDC funded project, to improve efficiency and increase transparency in waste management in Gjakova/Djakovica. The events around open data were designed to serve three key purposes: 1) use technology to increase transparency and understanding the shortcomings of the processes in public institutions, 2) digital capacity building for young people, and, 3) harness the potential of young people as agents of change. To that end, these events introduced new and nascent technologies which young developers were not exposed to before, but also got them interested in the way that public funds are spent thus supporting the establishment of a network of tech-activists. Meanwhile, the Mayors of municipalities involved in the project (Pristina, Gjakova/Djakovica, Gjilan/Gnjilane and Prizren) have embraced various Information & Communication Tools (ICT) and social media tools to implement their daily work in a more transparent manner. Various tweet-chats have been organized with Mayors of respective municipalities, where they directly answered citizens’ queries on a particular topic through online sessions in social media. Moreover, SAEK has introduced a campaign named PYET/ASK/PITAJ23, where once a year, a booth is installed in the most frequented area of a city where citizens can ask questions about their everyday problems that are

23Please see the video for illustration https://www.youtube.com/watch?v=-jfUhE7QDmA

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recorded on video and then posed to their Mayor and municipal officials and . Questions and answers are then and aired on public TV stations.

b. Civil society and citizen engagement In order to strengthen the civil society and citizens’ role in the fight against corruption, in 2012 SAEK, jointly with implementing partner Internews Kosova, created the online platform www.kallxo.com (in Albanian it means “do tell”). Kallxo emerged as a copycat of www.ipaidabribe.com due to its success in India and trust it received from its citizens. Since its launch, Kallxo.com platform has received over 4000 reports. The reports are divided into five main categories consisting of: corruption, conflict of interest, elections, fraud, municipal services and other. A research unit constantly reviews the cases reported on Kallxo.com and verifies them on daily basis. The number of reports submitted to Kallxo.com reached 4007, of which 3644 were approved. Out of 3644 reports, 403 were verified.24 Throughout 2014, the Kallxo.com legal office submitted 63 complaints to the relevant institutions. Beside the reports received on Kallxo.com, the platform has also received 187 reports via phone calls and 207 via email. SAEK I has contributed to improved civic engagement through www.kallxo.com. The platform has established itself as a trusted avenue for citizen reporting of the corrupt practices, 25and its work has been successful in uncovering several cases of irregular public procurement activities.26 According to an independent opinion poll, Kallxo.com platform continues to be a trusted channel for citizens to seek integrity, in fact a recent poll found that kallxo.com was the fourth most trusted channel to fight corruption: Graph 2: Independent poll by UBO Consulting on the most trusted anti-corruption bodies Jointly with the GAP Institute, the SAEK project is contributing to increased transparency in government spending and revenues. The online platform includes budget revenue and spending with information collected from the Ministry of Finance. The platforms are available online in three languages http://www.institutigap.org/spendingsEng/ and http://www.institutigap.org/incomes/.

24After Kallxo.com receives and verifies information, stories are published through its media outlets that are then followed up with relevant institutions through provision of articles, video footage, additional documents arguing the case etc. The cases are followed up with different institutions including Anti-Corruption Agency, almost all municipal governments throughout entire Kosovo, different levels of Prosecution, Ministries, public agencies and independent bodies. Please see the video on how the team works https://www.youtube.com/watch?v=N7TtScx8rP8 25See, http://live.kallxo.com/sq/MTL/Qytetaret-Shohin-te-KALLXOcom-nje-Shprese-per-Adresimin-e-Problemeve-te-Tyre-6669. 26As an example see, http://live.kallxo.com/sq/MTL/Plot-Dallavere-ne-Tenderin-per-Pajisje-Medicinale-Dosja-F-3631.

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Graph 3: 2015 Kosovo Budget, Revenues by categories

In addition, a drop list was created with twelve municipal budget sources, through which citizens can see how their municipality compares to other municipalities in certain budget sources. Monthly national budget revenue data collection is an ongoing activity. The GAP Institute collects data on main categories as: customs, tax administration, own source revenues, grants and assistance, and the revenues for municipalities as incomes from property tax, court fines, construction permits, vehicle registration taxes, etc. The GAP Institute’s revenue and spending platforms remain the only source of understandable and accessible information on government resources, directly contributing to increased transparency of public finance. The interventions outlined above demonstrate how SAEK continues to be a leading and pioneering project in the area of governance. Kallxo.com remains the most trusted channel for reporting corruption, and the GAP Institute’s platforms are a significant and tangible contribution to increased budget transparency27.

a. Empowering media in the fight against corruption Every year, to mark 9th of December, International Anti-Corruption Day, UNDP, jointly with the Anti-Corruption Agency and the Association of Journalists, hosts the Anti-Corruption Journalism Awards.28 This initiative is an opportunity to publicly recognize the contributions of journalists who, through their stories, tackle corruption and encourage transparent and honest behavior.

27See the simplified video developed for citizens of Municipality of Prishtina/Pristina https://www.youtube.com/watch?v=m9QWPoFygH4 28See videos on campaign organized to mark December 9 https://www.youtube.com/watch?v=PIhb07ebnIE and https://www.youtube.com/watch?v=1929l7a155U&feature=youtu.be

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3. LESSONS LEARNED DURING SAEK I (2013 – 2015) Getting the relevant authorities on board: SAEK was designed to work with both the supply and the demand side. Bringing all relevant stakeholders around the table and close to this project was crucial. This necessitated the training of public sector officials in corruption and demonstration of clear benefits that SAEK can bring to their respective institutions. This was further strengthened by collaboration between the government and civil society organizations (CSOs) under the auspices of SAEK Steering Board committee, composed of representatives of central and local institutions, CSOs, the media, and development agencies. The second phase of the project has been developed with close involvement of the beneficiaries and stakeholders so their needs and technical capacities are taken into account. This will inform the development of concrete activities, including improved ownership29. Informed direction of the project can only be achieved if the key stakeholders are part of design and implementation of it. It shows that the commitment and understanding of both public sector and the CSO’s to this project has improved due to leadership and ownership sense developed with the participatory approach of the project. This was best illustrated in the stakeholders meeting for design of SAEK ll. Ensuring the political will. There is perception that Kosovo lacks political will to fight corruption. In addition, due to the political influence in the justice institutions, cases of prosecution of corruption remains low and impunity remains a problem. However, SAEK I was able to target the key drivers of change to obtain buy-in for its activities from high ranking officials of the government at all levels. In particular, three sectoral corruption risk assessments were conducted in close cooperation with the respective Ministers (Education, Health, and Economic Development) who participated in the Task Force Meetings to discuss the findings of corruption risk assessments and follow-up on the recommendations. As a result of the close cooperation with the high political level, specific anti-corruption activities have been included in the work plans and agendas of the respective ministries.30 At the local government political level, Integrity Plans have been developed and adopted with the full commitment and cooperation of the Mayors (Prishtina/Pristina, Gjakova/Djakovica, and Gjilan/Gnjilane). From the inception phase of identifying the corruption risks within the local institutions, to developing the plan to address risks in workshops, Mayors and the leadership of municipalities have driven the entire process to also ensure ownership and sustainability of such an important mechanism. The experience shows that direct involvement of political leaders raises the hope within public. Engaged politicians become role models that other politicians can follow. Political will however varies, therefore, the project has learned that it will start with anticorruption champions and build upon this bases to influence others. Trust and social infrastructure come before technology. Enhancing transparency and accountability requires deep change in society and decision makers. Technology, if used effectively, is only an enabling tool, but not a driving force. Having strong implementing partners from civil society and media who can follow up on the information provided by citizens and hold responsible authorities accountable is essential to create desired change and gain citizens’ trust. Without the trust of citizens, anti-corruption initiatives will not work out. Working with strong and reliable partners has been important and ensured active stakeholder participation in project meetings and consultations.

29 In February and May 2015 SAEK project organized a two day retreat and a one day round-table to discuss the project, its relevance for the beneficiaries, identify future needs, and validate the draft concept document. Summary of the report is attached as Annex to this project document. 30 I.e. For more information refer to SAEK Achievements – Ombudsperson for Patient’s Rights.

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Strengthen civil society to fight corruption through social media: the Kallxo case. The Kallxo platform, which is implemented by a consortium of civil society representatives and the media, has truly benefited from the diverse skills of its partners. Through tech solutions, investigative journalism, conducting perception surveys, and publishing articles based on reported cases, the platform has been equipped with the ingredients essential in tackling an issue as complex and multi-faceted as corruption. The platform is unique in that it transforms data into knowledge to encourage civic action and engagement. Furthermore, Kallxo.com enables the mapping of corruption in public service delivery. This information has been spread to promote public administration reform and raise citizens’ awareness on where key problems lie. As described in SAEK I results above, the SAEK team has utilized strategies to ensure political buy-in from the supply side through strengthening familiarity and trust between civil society and institutional actors; through the Task Force meetings which provided a neutral space for discussion between stakeholders where both parts were able to share their views on helping to build political will for pursuing anti-corruption agenda. Experience shows that application of kallxo.com has increased the awareness of citizens about the clear benefits of anti-corruption policies and their right and approaches to demand transparency and accountability. Communication is key. The project has conducted a series of highly visible awareness raising and social mobilization campaigns. In an environment where corruption is visible at all layers of society, and where corrupt officials are not being held accountable, citizens become more and more skeptical about how much they can actually contribute to creating change. Implementing a project of this nature that is dependent on the participation and contribution from citizens, requires intensive communication to maintain the citizen’s interest, commitment and faith that individuals can create change. Importance of investing in corruption prevention. Corruption prevention calls for coordination, not only of the horizontal accountability (executive, judiciary, and legislative), but also of vertical accountability - to enhance the capacity of media and civil society to expose corruption, putting pressure on enforcement, and promoting transparency and accountability. While the prosecution of acts of corruption is important for curbing impunity, UNDP’s work in the area of anti-corruption has shown that investing in strategies to prevent corruption (i.e. Integrity Plans, Corruption Risk Assessment) is equally important to reducing the risk of corruption. The sectoral approach to fighting corruption is problematic due to lack of expertise. While approaching corruption from a holistic angle can be preferable, sometimes a targeted approach is more realistic and practical. Sectoral anti-corruption interventions, such as in education and health, could potentially mitigate corruption risks and integrate transparency and accountability in governance reforms. However, the SAEK experience shows that the implementation of a sectoral approach is challenged by coordination failure and the lack of knowledge across sectors commonly referred to as the ‘missing middle’. While there is expertise required in the area of anti-corruption and in relevant sectors, it is often hard to find an expert with knowledge of both anti-corruption and a particular sector in Kosovo. Thus, there is a need for more knowledge, tools and methodologies to guide integration of anti-corruption in respective sectors and also documenting lessons learned from the ongoing processes. There are no quick fixes when it comes to corruption. Projects in anti-corruption are processes that take time to be able to refer to tangible results. They are about processes of reform that should have impact on peoples’ behavior that normally take time to change. Over the past two decades, there has been progress in the fight against corruption globally in terms of advocacy and awareness, systems, norms,

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frameworks, legal tools, networks, internet technology, and enhanced anti-corruption strategies. In spite of these efforts, various studies on perceptions of corruption show that the prevalence of corruption still remains significant in many countries. We’ve learned that a successful anti-corruption initiative is determined by a clear theory of change. While SAEK l has achieved some important results to date, we understand that it would have been much more successful if a specific theory of change was embedded in its expected results. Having said that, we must also point out that an absence of credible baselines for SAEK l has not provided the project with the right tool to develop a proper theory of change (ToC). This is one of the key lessons learned and also one of the key issues raised in SAEK l external evaluation report. Another obvious lesson learned is that while the last decade has seen a rise in the efforts by governments, donors, civil society actors, and multilateral agencies to address corruption – there has been very little investment in gathering evidence on what works and what doesn’t work. This lack of knowledge limits the ability of stakeholders to improve their anti-corruption efforts and have an impact on reducing corruption. Therefore, an investment in learning and knowledge management in the area of anti-corruption is necessary. There needs to be a gender-based approach to addressing corruption. SAEK’s assessment on impact of corruption in women and men proved that corruption is not gender neutral. Women´s experience with corruption is different, in particular when accessing services. The assessment too also reveals the existing gender stereotypes towards women in public life. It highlights the hypothesis that women are more risk averse due to their traditional role in society as caretakers of the family. It also confirms the assumptions that women are more aware of what corruption entails (81 percent) in comparison to their male counterparts (55 percent). Therefore, what we need is more gender-aware anti-corruption initiatives. In addition, there is a need to implement policies that will increase women’s awareness of their rights and enhance their ability to undertake collective action to address corruption.

4. SITUATION ANALYSIS a. Context

While questions persist on the impact of anti-corruption initiatives and whether or not corruption is on the decline, there has been significant movement on the anti-corruption dialogue over the last two decades. There is increasing evidence that anti-corruption efforts are contributing to promote transparency, accountability, and integrity in decision-making processes. Due to its complexity corruption is difficult to measure; nonetheless there is clear evidence on the correlations between corruption and economic & human development indicators. Countries that score low on corruption perceptions (i.e. Transparency International Corruption Perception Index31) tend to be countries that enjoy greater prosperity, opportunity, and individual liberty.

In Kosovo, corruption has been identified as one of the main impediments on the path to European integration. According to the European Commission’s (EC) Progress Report (2014) Kosovo has made limited progress and is at an early stage in the fight against corruption.32 The EC Progress Report for

31 For more see http://www.transparency.org/research/cpi/overview 32See, Kosovo Progress Report, page 16, available at http://ec.europa.eu/enlargement/pdf/key_documents/2014/20141008-

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Kosovo recommends that the new government and parliament should show zero tolerance towards corruption and organized crime and have a clear political mandate to effectively fight against corruption and organized crime. In addition, the report indicates that political will be needed in order to ensure full independence of judicial institutions. Council of Europe’s Report on Compliance with International Standards in the Area of Anti-Corruption (2014) notes that Kosovo authorities have not implemented the majority of the recommendations derived from Council of Europe’s Group of States Against Corruption (GRECO) biannual reports, most of which require revision and adoption of core relevant legislation, while several others call for the efficient implementation in practice of the relatively new legislation.33 Moreover, Transparency International Corruption Perception Index for 2014, firmly roots Kosovo at the bottom of the table showing it as the most corrupt place in South Eastern Europe, with no change in this status compared to 2013 and 2012.34 Moreover, World Bank Governance Indicators, in particular Control of Corruption Indicator, also place Kosovo at the bottom of the table amongst countries of South East Europe, with results in a decline in comparison to the period from 2008 – 2013.35 From 2012 – 2015, according to the UNDP’s Public Pulse results, corruption is ranked as the third major problem for Kosovo, after unemployment and poverty.36 A significant number of Public Pulse respondents consider that large-scale corruption is prevalent in many public institutions. The institutions that are perceived to have the highest prevalence of large-scale corruption include: healthcare providers 52%, Kosovo Electric Corporation 45%, Courts 43%, Customs 39%, the central administration/institutions 38.5%, the Privatization Agency of Kosovo (37%) etc. Kosovo Police, International Organizations and banks are perceived to be the least corrupt institutions. The aforementioned data have served a twofold purpose: they have validated corruption trends and risks identified by SAEK I and have served as credible baselines in design of SAEK II by defining the scope of proposed interventions. Based on these, SAEK II will address administrative corruption which according to the data has high prevalence with specific emphasis on the strategic objectives of the anti – corruption policy documents. The main policy document governing the area of anti – corruption is the Anti – Corruption Strategy (2013 – 2017) and the Action Plan for its implementation as an integral part of the Strategy.37 The Strategy and the Action Plan have been adopted by the Assembly of Kosovo, thus they have a binding character. Despite this fact, currently the level of implementation of the Strategy stands at 54% (2015). The Strategy in itself, amongst other issues, envisages for all public institutions to increase their transparency and accountability through adoption of Integrity Plans Integrity Plans are developed in two municipalities, Prishtina/Pristina, Gjakova/Djakovica, with the third integrity plan being developed in the municipality of Gjilan/Gnjilane. There is evidence of high degree of commitment of municipality leadership in the process of integrity planning. All three municipalities have established working groups led by Mayors themselves to ensure

kosovo-progress-report_en.pdf 33See, Kosovo Follow-up Report on compliance with international standards in the area of anti-corruption (AC), par.275, page 44, available at: 34See, https://www.transparency.org/country#KOS. 35http://info.worldbank.org/governance/wgi/index.aspx#reports. 36See, UNDP Public Pulse 9, page 6, available at: http://www.ks.undp.org/content/dam/kosovo/docs/PublicPulse/pp9/PPR9_Anglisht.pdf 37See, http://akk-ks.org/repository/docs/Stragjia_2013.pdf.

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ownership of the process. At the same time, by municipalities’ staff engaging in drafting the integrity plans, the process seemed to have contributed to better understanding by municipal staff of how to identify and hence mitigate risk of corruption. This makes this process more sustainable, as municipalities have gained some in-house capacities to complete the process of drafting an Integrity Plan, to devise policies to address corruption vulnerabilities, and to monitor the implementation of the public integrity mechanisms. Also, it places an obligation on Kosovo Institutions to align the applicable legal framework with best international standards and practices. The main body responsible for monitoring of implementation of the Strategy is KAA. The table below highlights strategy objectives and specific objectives on the action plan. In addition, it also highlights the corresponding outputs planned by SAEK ll.

Objectives of the Anti-Corruption Strategy 2013 – 2017

Specific objectives of the Action Plan

Specific measures of the Action Plan

Response of the project / activities

Advancement of the integrity of public institutions and increase of public trust in them, strengthening of the transparency and accountability Increased cross – sectorial and cross – institutional efficiency and cooperation and creation of coordination mechanisms for combating corruption Further implementation of international anti – corruption standards in legislative and institutional framework Increased parliamentary oversight on anti – corruption policies Parliamentary scrutiny over governmental anti – corruption policies

Strengthening of inter – institutional coordination in fight against corruption; Amendment and harmonization of anti – corruption legislation with international standards in particular with UNCAC, and CoE and OECD anti – corruption instruments

Capacity development and training of civil servants on integrity plans and their implementation; Preparation of analysis of the current level of harmonization of anti-corruption legislation with international standards Harmonization of remaining legislation with international standards, with emphasis on the Criminal Code Systematic review of legislation in light of anti – corruption standards

OUTCOME I Anti-corruption institutions in Kosovo provide more effective oversight on public institutions. Outputs: Output 1.1: Kosovo anti-corruption institutions better monitor, prevent and fight corruption at central and municipal level Output 1.2: Kosovo institutions develop policy, legislation and strategy in line with UN Convention against Corruption (UNCAC) requirements. Output 1.3: Group of Parliamentarians against Corruption (GOPAC) monitors the adoption and implementation of UNCAC review recommendations.

Strengthening of transparency to encourage participation of civil society organizations in the work of local government Promotion of integrity and professionalization of local governments

Strengthening of transparency in adoption, planning and implementation of municipal acts; Creation and implementation of integrity framework; Improvement of cooperation of citizens, CSO’s and local media with local government;

Integrity planning in governmental institutions and public sector; Drafting and adoption of integrity plans in all municipalities. Creation of monitoring and reporting mechanism on evaluation and implementation of integrity plans;

OUTCOME II Selected central and local institutions demonstrate principles of integrity and transparency. Outputs: Output 2.1 Local and central institutions have developed Integrity Plans. Output 2.2

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Development of anti – corruption plans in municipalities in compliance with the Strategy

Drafting and adoption of integrity plans for all municipalities; Creation of municipal committees for monitoring of implementation of integrity plans; Organization of adequate training and education of municipal authorities tasked with implementation of integrity plans. Drafting and adoption of local anti – corruption plans Provision of on – line access to main local government documents; Creation of mixed structures (municipality with CSO’s) for joint monitoring of local anti – corruption plans

New tools for public transparency developed in selected institutions.

Encouragement of efficient external monitoring for implementation of the Strategy and improvement of cooperation with civil society organizations

Increased cooperation between institutions and civil society in implementation of Strategy and the Action Plan

Creation of anti – corruption forum for discussion in regard to the level of cooperation between institutions in fight against corruption Organization of joint events between public institutions and civil society on the progress in implementation of the Strategy and the Action Plan

OUTCOME III Improved execution of CSO’s and citizens’ rights on seeking public accountability and transparency on the fight against corruption. Outputs: Output 3.1: Civil society is stronger in seeking accountability and transparency on fight against corruption. Output 3.2: Awareness of citizens on their rights and responsibilities on public transparency and accountability increased, with focus on vulnerable and marginalised groups.38

b. Anti – Corruption architecture

38 Women, youth, minorities, and people with disabilities and special needs

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Kosovo has a sound legal framework and a plethora of institutions tasked with preventing and combating corruption. Declaratively, political will to fight against corruption was indicated from the highest level with the establishment of the National Anti – Corruption Council (2012), chaired by the President of Kosovo, and establishment of the Special Task Force on Anti – Corruption, mandated by the Prime Minister of Kosovo (2012). Other institutions involved in prevention, combating corruption in public and private sector, and bringing to justice those misusing public funds, includes the KAA, Kosovo Police, Prosecutors Offices (including the Special Prosecution of Kosovo), Basic Courts, and the Office of the Disciplinary Prosecutor.39 ▪ National Anti-Corruption Council was established in February 2012 under the auspices of the

President of Kosovo, to increase cooperation and coordination among the Kosovo institutions. The functions of the Council are to coordinate activities in preventing and combating corruption; identify and coordinate activities in support of the implementation of the national strategy in fighting corruption; determine the priorities and policies for the implementation of the legislative agenda in increasing effectiveness in the fight against corruption; coordinate the work and activities of the responsible institutions in strengthening existing mechanisms to fight corruption; and to raise the awareness of the society for the prevention and fighting of corruption.40 Despite the attempts of the Council to put pressure on institutions to prioritize fight against corruption high in the agenda, limited progress has been observed. The Council did not meet regularly as planned (2012 there was 1 meeting, 2013 – 4 meetings, 2014 – 1 meeting, 2015 – no meetings yet). In addition, involvement of CSOs and donors has not been sufficient, a fact that project aims to address and remedy during phase II of SAEK.

▪ Anti-Corruption Task Force within the Special Prosecutors Office of Kosovo (SPRK)41established in 2012, was formed with the task to specifically fight high-profile corruption cases, unlike basic prosecutors’ offices which have the responsibility of dealing with lower scale corruption cases. The Task Force has 12 members, including 7 prosecutors and 5 representatives from the Regional Police Directorates for Economic Crimes and Corruption. However, the arrest and subsequent conviction of the lead prosecutor of this body for misuse of official duty and corruption, demonstrates that establishing such bodies is not sufficient to reduce corruption.42

▪ Kosovo Anti – Corruption Agency, operational since February 2007, is an independent institution specializing in the implementation of national legislation and policies for combating and preventing corruption. The work of the KAA is focused on detecting and investigating corruption cases, efforts to prevent and combat the phenomenon of corruption, and assisting in enhancing the rule of law in Kosovo.43 To date, KAA has been partially effective in implementing measures for prevention of corruption. In particular, related to asset declarations, KAA has been able to verify only 20% of approximately 5,000 public officials’ declarations. In addition, as part of the Anti - Corruption Strategy, responsibility of the KAA was to initiate the sectoral risk assessments in the areas perceived to be the most corrupt and to assist institutions to have the integrity systems in place. Nonetheless, due to the lack of its capacities, SAEK I has assisted the KAA to address the implementation of recommendations deriving from the Strategy. SAEK II will continue to assist the KAA to address and monitor the implementation of requirements of existing Strategy and for KAA to fulfil its mandate.

39For more details please see Annex – Diagram: Anti – Corruption Architecture. 40See, http://www.president-ksgov.net/?page=2,151. 41 SPRK is a prosecution office dealing with very serious crimes and criminal offenses, which include corruption. SPRK is composed of Kosovo and EULEX prosecutors and headed by a EULEX prosecutor. 42The head of the Task Force is actually the only high ranking official in Kosovo to be convicted for corruption. 43See, http://www.akk-ks.org/?cid=2,5,

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▪ Prosecution Offices, including the Special Prosecution of Kosovo are mandated to bring charges for criminal offenses of corruption and those provided by the Law No.03/L-052, on Special Prosecution of Kosovo44. Oversight mechanism of Prosecution Offices is the Kosovo Prosecutorial Council. Detailed assessment on all judicial bodies has been conducted by UNDP and UNODC in the beginning of 2013.Assessment on judicial integrity includes a particular focus on KPC.

▪ Basic Courts are mandated to adjudicate on indictment brought by the Prosecution Offices. Oversight mechanism of the courts is the Kosovo Judicial Council. As indicated in the introduction, the work of prosecution offices and basic courts related to corruption cases, shows a slight improvement in efficiency.

▪ Office of the Disciplinary Prosecutor (ODP), a separate and independent body that serves both the Kosovo Judicial Council and the Kosovo Prosecutorial Council. With respect to the judicial system, the Disciplinary Prosecutor is responsible for investigating alleged misconduct of judges and lay judges. They are also responsible for presenting the evidence and the case supporting disciplinary action for misconduct to the Disciplinary Committee.45 The work of ODP was somewhat impeded due to ambiguity in legal provisions of the Law on Judicial Council and Law on Prosecutorial Council related to the budget allocation for the ODP. This has raised questions regarding the independence of the institution. SAEK II aims to address this matter by supporting adoption of a separate Law on ODP that would ensure full independence of this institution. More specifically, SAEK II will support development of capacity for ODP to investigate allegations of misconduct by judges and prosecutors, through provision of tailor made trainings, TA through legal researches and investigators to enhance the capacity of the ODP to process cases received on timely manner and ODP’s public visibility and to increase knowledge of citizens on the role and responsibilities of ODP.

▪ An important oversight mechanism is the Assembly of Kosovo Committee on Mandates, Immunities, Rules of Procedure of the Assembly and Oversight of Anti-Corruption Agency.46 The Committee is tasked with oversight and monitoring of the activities of the KAA. Annual reports of the KAA are submitted to the Committee whereby the Head of KAA presents the findings in a session open to the public. SAEK II will provide capacity development to the Committee for oversight of the Anti-Corruption Agency, corruption proofing of legislation will be supported as well as strengthen cooperation of the Committee with CSOs and the media.

The main law governing the area of anti – corruption is the Law on the Anti – Corruption Agency, which established the KAA and provides its mandate and powers.47 Other important laws related to the work of the KAA are the Law on Declaration, Origin and Control of High Public Officials and Declaration, Origin and Control of Gifts for All Public Officials48. It has to be noted that this law has been aligned with the newly promulgated Criminal Code of Kosovo and that failure to disclose assets or false declaration of assets are now considered as criminal offenses. In addition, the Law on Prevention of the Conflict of Interest49.

44Includes high risk offenses, including high level corruption. See, http://www.kuvendikosoves.org/common/docs/ligjet/03-L-052%20a.pdf 45See, http://www.kgjk-ks.org/?cid=2,152. 46See, http://www.kuvendikosoves.org/?cid=2,110,123. 47See, http://www.kuvendikosoves.org/common/docs/ligjet/2009-159-ang.pdf. 48See, http://www.kuvendikosoves.org/common/docs/ligjet/Law%20on%20declaration%20of%20property%20of%20senior%20public%20officials.pdf 49See, http://www.kuvendikosoves.org/common/docs/ligjet/Law%20on%20prevention%20of%20conflict%20of%20interest%20in%20dischar%20of%20public%20functions.pdf. , page 15.

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Amendments to this law, which would allow its alignment with the newly promulgated Criminal Code of Kosovo are yet to be adopted by the Assembly of Kosovo. Institutional capacities While SAEK l has supported KAA in the last 2 years, KAA needs further support to oversee the Implementation of the strategy of anti-corruption. The October 2014 scoping mission on KAA’s capacities to implement its mandates identified shortcoming at the organizational level and operational levels. A major shortcoming of the KAA is constituted by the fact that some of the important activities that the agency is supposed to carry out, cannot be carried due to insufficient expertise and skills, such as monitoring of strategy implementation, coordination with other institutions to fulfill obligations arising from international anticorruption laws, data gathering and analyses which feed in to legislation development and legal opinions and implementation of international standards. In addition, KAA lacks the necessary analytical capacity to conduct risk assessments in sectors vulnerable to corruption. The quality of pre-investigation reports needs to improve to ensure better follow-up, and the prosecution needs to provide regular feedback to the KAA.50 Kosovo lacks institutional capacities and sufficient political to effectively implement the anti-corruption strategy and action plan. The annual report of the Kosovo Anti – Corruption Agency (KAA) shows that for the period of June - December 2013, only 54% of actions foreseen in anti-corruption strategy were being implemented or were partially implemented.51Further efforts are needed to fully implement relevant provisions on the prevention of corruption and promotion of integrity in the civil service, in particular by providing targeted training for civil servants.52 The above are some of the reasons for high perception of corruption amongst Kosovars, in addition engagement of citizens in anti – corruption initiatives and oversight of public institutions has not been on the desired level. Hence, KAA oversight function regarding the implementation of the strategy should be strengthened. In line with the findings of the UNDP Public Pulse, risk assessments conducted by UNDP’s SAEK Project, in areas perceived to be most corrupt, such as Health, Energy and Mining, Education, and Judiciary, have highlighted significant corruption risks within these key sectors. Aforementioned assessments and indicators of the overall situation in Kosovo related to corruption show that the fight against corruption in Kosovo is still in early stages and that significant efforts are needed to introduce higher standards of transparency and accountability in public institutions. These efforts will be multiplied if the work is to be carried out with drivers of change identified and already engaged within SAEK I. Most notably, after local elections in December 2013, there has been a change of leadership in several municipalities. Several new mayors embraced project activities to increase integrity and accountability in municipalities. While the political will for positive change in this respect varies between institutions, the project will use the results under SAEK one and target other drivers of change to multiply results achieved. In addition, increased civic engagement through social media activism and

50 DANIDA (20

/Law%20on%20prevention%20of%20conflict%20of%20interest%20in%20dischar%20of%20public%20functions.pdf. , page 15.

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online platforms for reporting corruption, as drivers of change, have to be further enhanced to increase pressure on central and local level institutions to be more open and accountable to citizens.

c. Stakeholder Analysis

The Political Economy Stakeholder Analysis53 tool consists of two matrixes and a graphic chart. The first tool, institutional and political economy context scanning, is a matrix allowing the identification of institutional and political economy factors shaping anti-corruption sector performance. Second tool on actor assessment matrix and stakeholder analysis provides detailed analysis on information on stakeholders, their interests, and resources. Third tool is the circle of influence that aims to visually provide an overview on based on the actor assessment matrix, which is included under Annex 2 SAEK Partnerships.

i) Institutional and Political Context in Anti – Corruption Scanning

Sector Capacity Area 1 = fully agree

2 = agree

3 = disagree

4 = strongly disagree

Implications for capacity development in anti-corruption sector

A. Wider context influencing policy making SAEK will continue to provide capacity building support to address recommendations of corruption risk assessments conducted in health, education, and energy/mining. These sectoral policies are endorsed by the respective ministries: Ministry of Education, Ministry of Health, and Ministry of Economic Development. Political Parties lack anti-corruption initiatives in the annual work plan. Anti-Corruption Strategy, relevant laws on anti-corruption are in place. These documents are the guiding actions for relevant anti-corruption bodies. Nonetheless, compliance with policies and laws is not in the satisfactory level.

A1 Sector policies are normally endorsed by government

X

A2 Sector policies are normally endorsed by parliament

X

A3 Sector policies are endorsed by Ministry of Finance

X

A4 Political parties are driven by policy positions

X

A5 Formal policies are guiding actions of ministers

X

A6 Formal policies are guiding civil servants

X

A7 Policy failures have political consequences

X

A8 Compliance with policies and laws is high

X

B. Sector resources, budget allocation mechanisms, and public financial management

Budget is not always driven by the policy process. Certain laws are endorsed without budget implications. Budget, due to weak planning and execution, is not being spent as foreseen. Lack of transparency on

B1 The budget process is policy driven

X

B2 The budget is largely executed as planned

X

53 DANIDA (2011) Applying Political Stakeholder Analysis: How can it work?. Available online at http://amg.um.dk/en/technical-guidelines/capacity-development/~/media/7F44DE2DEF5240FF847457484991DE7F.ashx

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B3 The budget envelope to sectors balances salaries and recurrent costs

X budget revenues and spending makes it difficult to assess whether budget planning matches budget spending at the end of the year. Ministry of Finance does not issue a narrative to the overall budget and the budget lines are generalized. SAEK will continue to support its platform with GAP institute on visualization of all revenues and spending of budget organizations.

B4 The budget envelope matches final sector plans

X

B5 Funds are made timely available to sectors

X

B6 Transfers and allocations are transparent

X

C: Factors influencing organizational capacity

C1 Material incentives to performance in the public sector are reasonable

X Assessment of SAEK conducted in the civil service shows that corruption is present in recruitment procedures. SAEK II will address the recommendations of the assessment and follow up on implementation. Performance culture is not present. There are no incentives for public sector officials to perform better. Corruption in recruitment affects performance of officials too as it discourages merit based recruitment or promotion. Judges and prosecutors, starting from 2013, are obliged to give priority to cases on corruption through the introduced performance evaluation. Nonetheless, there are no penalties for underperforming judges and prosecutors, only naming and shaming method. SAEK has supported the development of the first performance assessment on prosecutors.

C2 Non-material incentives are reasonable

X

C3 Staff strength and competencies matches policy ambitions

X

C4 Public sector employment is not linked to patronage

X

C5 A performance culture is generally present

X

C6 Front line service providers have means and relevant autonomy to deliver

X

C7 Leadership practices stimulate staff to perform and take initiatives

X

D: Wider framework for accountability and monitoring Auditor General provides independent audit reports which show that institutions lack efficient internal auditing mechanisms. Sanctions are not being implemented for non-performing institutions. Data are usually not public. SAEK II will continue to assist institutions to open up and be more transparent on their work. SAEK II will continue to strengthen the civil society role to be an affective watchdog of institutions actions or inactions in the fight against corruption. In particular, support will be provided to monitor Integrity Plans. Public institutions have complaint mechanisms in place. Nonetheless, due to the lack of public trust in institutions, citizens seek alternative means to report corruption, such as Kallxo.com or through Ombudsperson for Patients’ Rights. SAEK II will continue to strengthen these two established mechanisms and strengthen their collaboration with anti-corruption institutions.

D1 Audits are effective, and observations lead to actions or sanctions

x

D2 Parliamentary oversight is effective

x

D3 Monitoring is of reasonable quality and used for adjustments

x

D4 Monitoring data are publicly available

x

D5 Civil society is engaged in monitoring

x

D6 Public institutions are sensitive to complaints

x

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E: Networking and relations to critical stakeholders, including development partners

There is no monitoring in place on what is the level of compliance of institutions with the laws in place on organizing formal and informal consultations with civil society and citizens. SAEK II will assist municipalities to organize at least 2 public consultations per year on Integrity Plan implementation. SAEK has assisted and will assist Anti-Corruption Agency to consult with other institutions, CSOs, and the media on the level of implementation of Anti-Corruption Strategy. SAEK I undertook several initiatives to address public apathy and bring back the trust in public institutions. SAEK II will continue to organize awareness raising initiatives to address this matter. SAEK I and SAEK II will continue to closely coordinate with other donors to implement requirements of the Anti-Corruption Strategy.

E1 There is a broad tradition for formal and informal consultations

X

E2 Public sector cooperate easily with each other

X

E3 Development partners are playing second fiddle only

X

E4 Citizens voice is heard

ii) Actor Assessment Matrix and Stakeholder Analysis

Stakeholder/ Actor Interest in/commitment to

project Capacity for change (and possible contribution to project)

Actions of project to strengthen capacity of stakeholder

National Council on Anti-Corruption (NCAC)

Target group of the project; interest in increasing coordination capacities of the Council to include a wider range of stakeholders in formulation of anti – corruption policies and recommendations

Strong potential to ensure highest level political will in formulation and adoption of anti – corruption policies and recommendations Weakness: The NCAC lack executive powers

Facilitating better coordination between NCAC and donors in anti – corruption area. Transfer of SAEK I Knowledge Management System (KMS) as a technical body for exchange of information and data on anti – corruption cases between AC Institutions and CSO, in particular kallxo.com platform

Kosovo Anti-Corruption Agency (KAA)

Beneficiary and target group of the project; interest in increasing technical capacities to fulfill its mandate and better positioning itself vis-à-vis other government and civil society stakeholders.

Strong potential and continuous need to strengthen the capacities of the KAA to increase effectiveness of its corruption prevention and control tools and mechanisms. Weakness; Insufficient technical capacities

Developing technical capacity and providing the KAA with the necessary tools to prevent and detect corruption in specific sectors, institutions and the local level. Provision of technical expertise through embedded experts to facilitate transfer of best international practices. Facilitating improved collaboration and information flow between KAA, other AC Institutions and CSO, in particular kallxo.com platform.

Judicial Institutions (ODP, KJC, KPC, KBA)

Beneficiaries and target group of the project; interest in increasing capacity of the

Strong capacity development needs. Willingness to learn and better cooperate with

Strengthening capacities and mechanisms for inspection, audit and disciplinary investigations to

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judiciary to fight corruption internally and externally. Corruption in the judiciary is perceived to be very high and there is an urgent need to address the issue.

other relevant institutions from the executive branch. Weakness: The impact of the institutions work is not visible sufficiently.

discipline judges, lay-judges and prosecutors. Strengthening capacities of the judiciary, though provision of tailor made and targeted trainings, to investigate, prosecute and adjudicate cases of corruption externally. Facilitation of improved collaboration and information flow amongst relevant stakeholders. Provision of internships and targeted trainings on anti – corruption for interns, in order to build future capacities thus ensuring sustainability of the interventions within the judiciary.

Assembly of Kosovo (AoK) Committee on Legislation and Oversight of the Kosovo Anti – Corruption Agency; individual Assembly Members

Beneficiary and target group of the project; interest in increasing legislative capacity of the AoK to conduct corruption proofing of legislation and encompass international anti – corruption standards (UNCAC review) in Kosovo legislation; Interest in identifying anti – corruption champions from amongst AoK members to establish the GOPAC chapter in Kosovo.

Strong legislative capacity development needs, in particular in relation to implementation in the legislation of the international anti – corruption standards. Willingness to be part of the international networks on anti – corruption issues. Weakness: Lack of experience in oversight function.

Provision of legislative capacity development, through embedded experts, to increase legislative capacity of the AoK in particular on corruption proofing of legislation and implementation of international anti – corruption standards (UNCAC review) in Kosovo legislation. Facilitation of cooperation with GOPAC Secretariat and established GOPAC parliamentarians with the aim to establish GOPAC chapter in Kosovo.

Legal Office (LO) within the Office of the Prime Minister

Beneficiary and target group of the project; interest in increasing legislative capacity of the LO to conduct corruption proofing of legislation and encompass international anti – corruption standards (UNCAC review) in Kosovo legislation, before submission to the AoK for adoption

Strong legislative capacity development needs, in particular in relation to implementation in the legislation of the international anti – corruption standards Weakness: Lack of expertise in corruption proofing of legislation

Provision of legislative capacity development, through embedded experts, to increase legislative capacity of the LO in particular on corruption proofing of legislation and implementation of international anti – corruption standards (UNCAC review) in Kosovo legislation.

Ministry of Justice (MoJ) Beneficiary and target group of the project; interest in increasing legislative capacity of the MoJ to participate in the process of corruption proofing of legislation and UNCAC review.

Strong legislative capacity development needs, in particular in relation to implementation in the legislation of the international anti – corruption standards. Weakness: Lack of expertise in corruption proofing of legislation

Provision of legislative capacity development, through embedded experts, to increase legislative capacity of the MoJ in particular on corruption proofing of legislation and implementation of international anti – corruption standards (UNCAC review)

Kosovo Institute of Public Administration (KIPA)

Beneficiaries and target group of the project; interest in increasing its capacity to provide adequate trainings to

Potential to implement and coordinate training activities. Wiliness to work with relevant national institutions and

Trainings will be, whenever possible, provided by KIPA and will remain, as a legacy of the project, with the institute. KIPA will be trained to deliver future capacity

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civil servants and institutions of public administration. Bears responsibility for professional development of civil servants to establish an effective and responsible public administration as well as support the process of EU integration.

donors to address shortcoming and avoid any overlapping of training activities. Weakness: Lack of trainers/programs in anti-corruption

building to relevant Kosovo institutions. Depending on the level of expertise of KIPA related to anti-corruption issues, the project will provide substantive training to KIPA to create a sustainable “training for trainers” scheme.

Civil Society Organizations

Beneficiaries and target group of the project; interest in holding government at the national and local level more accountable for its actions and enhance transparency in public decision making.

Strong interest and need to strengthen the capacities of CSOs to perform effectively their function as government “watchdog”. Great potential for increased use of online and mobile phone tools to mobilize citizens to contribute to anti-corruption efforts and monitor government performance and decision making. Weakness: Lack of profilization on anti-corruption issues

Developing online and offline platforms and tools, which provide citizens and CSOs with the possibilities to engage more actively in social accountability and auditing efforts. Involving CSOs in capacity development activities and facilitate collaboration and information flow amongst relevant stakeholders.

Ministry of Local Government Administration (MLGA)

Supports municipalities in providing responsive services to the citizens, monitors municipality performance and activities of elected officials.

Could support project implementation and coordination within the target municipalities and contribute to replicating project activities in additional Kosovo municipalities.

Ensuring collaboration and information flow amongst relevant stakeholders at the local level. Involving MLGA in activities at the municipal level to ensure coordination at the national and local level.

Kosovo Association of Municipalities (KAM)

Serves as a coordination body between local and central government and strengthens cooperation amongst municipalities.

Could support project interventions at the local level and ensure scaling-up of project activities to other Kosovo municipalities not targeted through the project.

Supporting coordination between local and central government and strengthening cooperation amongst municipalities. Involvement in project will need to be defined further.

Media Partly beneficiaries of the project; plays a strong role in promoting transparency and investigating corruption.

High potential in supporting project activities, ensuring long-term impact of interventions and contributing to visibility of the project. Weakness: Lack of profilization in anti-corruption issues

Ensuring continued dialogue with media and involve representatives in project activities to the furthest extent possible.

Public procurement offices (Public Procurement Regulatory Commission,

Beneficiaries to the project. These three key institutions are responsible for the overall development, operation and supervision of

E-procurement has not been established up to date

Supporting capacity building of procurement offices to analyze technical specification for complex sectors and to review and improve

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Procurement Review Body, Central Authority for Procurement)

the public procurement system in Kosovo and carries out the functions assigned to it by the law

standards on transparency and integrity in public procurement.

European Union Rule of Law Mission in Kosovo (EULEX)

Assists Kosovo authorities, judicial authorities and law enforcement agencies in fighting corruption and enhancing accountability.

Although, from the perspective of the citizens, EULEX plays a controversial role in Kosovo, it can support project interventions and coordination amongst anti-corruption bodies. The current mandate of EULEX expires on 14 June 2016. A Strategic Review conducted in the second half of 2015 to assess the achieved progress, will provide the EU Members States with a framework for discussions on the focus EULEX mandate for the remainder of its mandate. Already in 2015, a continuous assessment of the Mission's tasks will be performed in order to identify possible areas that may be transitioned to other mid- or long-term EU instruments or local authorities where feasible.

Defining areas of collaboration and coordination.

International training academies and institutes (e.g. International Anti-Corruption Academy)

Through education, research and cooperation, aim to overcome shortcomings in knowledge and practice in the field of anti-corruption.

High potential in supporting project activities, providing expertise where needed and ensuring long-term impact of interventions.

Defining areas where support is needed from training academies and institutes and seek their involvement in the project.

Other international organizations and donors (e.g. European Union Office in Kosovo, Council of Europe, OSCE; Embassy of Norway British Embassy, US Embassy)

Also implementing projects which are relevant and where collaboration is necessary. Council of Europe and the World Bank address economic crimes and grand corruption

Synergies between the projects will be achieved through coordination. While most of them address grand corruption we focus on capacities of institutions to prevent corruption through integrity mechanisms.

Organizing frequent exchange and coordination meetings to ensure activities do not overlap, but build on each other.

d. Anti-corruption Champions

Progress in anti-corruption depends on change in mindset of the citizens and governing structures. The real political will to fight corruption is demonstrated by the choice of individuals appointed in key positions such as the Attorney General, State Prosecutor, or the police commissioner, who are neither engaged in corrupt practices nor seen as corrupt. Their roles on fighting corruption and upholding the rule of law are such that through the appointment of the right individuals, with professional and personal integrity, the government demonstrates that it takes the issue of corruption seriously. The role of such individuals in fighting corruption goes beyond their official role; they can be engaged to act as champions of anti-corruption by upholding the highest standards of personal and institutional

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standards. Champions must lead by example - by having a coherent approach to combating administrative corruption, so as to have additional credibility. They provide focus for public opinion and maintain pressure on the government to drive the anti-corruption message forward. They must be willing to develop and articulate plans, to be accountable, and to help advance the anti-corruption efforts in a coordinated manner across institutions. The latter is particularly important since anti-corruption activities fall within the remit of different institutions. During SAEK I the anti-corruption champions, although not formally referred to as such, were two mayors who led by example through embracing technology and open data as ways of increasing transparency and accountability. Anti-corruption champions can also be found amongst civil servants who participated in trainings on integrity planning, and were part of working groups. An equally important strata of society, and perhaps even more so, are the youth and students. Youth are often disconnected from bureaucratic corruption as they might not have encountered it personally. Sensitizing them to what corruption is and how it affects their lives encourages them to demand fair processes, particularly at municipal level. SAEK II will engage with interlocutors of sufficient authority and public standing to affect institutional change. It will continue to work closely with current Mayors (Gjakova/Djakovica, Prishtina/Pristina and Gjilan/Gnjilane) to promote them further as champions of anti-corruption through support for implementation of integrity plans. SAEK II will work closely with the Assembly and selected parliamentary committees to establish GOPAC but to also demand improved reporting and increased efficiency in the work of the Anti-Corruption Agency. Planned work with Office of the Disciplinary Prosecutor, State Prosecutor and Attorney General, including judges at Basic Courts, will send a positive message that scope for corrupt activity will narrow. Their presence in anti-corruption coordination mechanisms and public events organized by SAEK II will strengthen their role in the agenda. The Director of the Anti-Corruption Agency will be supported on advocating for the necessity to adopt and implement effectively integrity plans within institutions. He will also be used to promote the efforts of anti-corruption champions and their positive impact. This will bring more political leaders engaging closely with SAEK II at central and local level. UNDP jointly with the ACA will outreach to individuals from media or well respected personalities from the society with track record for contribution to anti-corruption agenda. The individuals, potentially award winning for reporting on corrupt practices will be further utilized as anti-corruption champions. They will serve as public awareness raising mechanisms and also influence other media or society representatives to increase the reporting on corrupt practices. SAEK II will also continue education of school and university students through joint awareness raising activities with KAA. There was a high interest of students to learn about the importance of combating corruption demonstrated through active engagement in the debates. SAEK II will capitalize this commitment. The journalist that wins the award for reporting on corrupt practices will be further utilized as a media anti-corruption champion. These journalists can be utilized to raise public awareness and also work with other journalist to increase the reporting on corrupt practices.

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e. Project Rationale Relevance: SAEK activities are aligned with Kosovo’s Anti-Corruption Strategy for 2013 – 2017, as well as the Anti-Corruption Action Plan 2013 – 2017 to ensure highest commitment from the government to participate and facilitate the implementation of the project. SAEK I have delivered results in three components with the aim of strengthening institutional transparency and integrity, and turning citizens into agents of change as active participants in decision-making processes. The annual report of the Kosovo Anti – Corruption Agency (KAA) shows that for the period of June - December 2013, only 54% of actions foreseen in anti-corruption strategy were being implemented or were partially implemented. This is result of insufficient political will and insufficient technical capacity to drive the anti-corruption agenda effectively. The capacities of CSOs also need strengthening and the voice of the citizens too to demand for accountability and transparency of public institutions. There are few donors and international organizations providing support to anti-corruption agenda. The coordination between the players is not at the desired level, nor the capacity of Kosovo institutions to lead with it. The project is designed to address all these gaps and proposes interventions that directly contribute to tangible results. Effectiveness: The project is proposing measures to support anti-corruption agenda that are realistically achievable, based on the overall holistic approach including day to day working with partner institutions to ensure ownership and their leadership over the process, and also a process of an inclusive consultation process used in the current phase of SAEK, and its results. Efficiency: The time and the resources proposed are based on experience from the current phase. Its exact efficiency will be measured throughout the project life. The implementation plan of the project clearly sets out the inputs planned per each intervention and their duration. The interventions are interlinked and at the same time well coordination. They also build on the bases developed by SAEK l. In addition, the detailed budget clearly outlines the human and financial resources required for each intervention. The project will report, fairly and accurately, on project progress against agreed work plans in accordance with the reporting schedule and formats included in the project document. All documentation will be maintained with evidence that describes the proper and prudent use of project resources. Impact: It is expected that the project impact will be achieved to result with less corruption and improved perception and trust in public institutions as result. All project activities are carefully designed to contribute to the impact. SAEK II Approach SAEK II seeks to address administrative corruption rather than grand corruption, although reducing the incidence and tolerance of the former will help reduce the latter. SAEK I and SAEK II complement and coordinate closely with other donors’ interventions in the sector, who address economic crimes and grand corruption, such as the Council of Europe and the World Bank. SAEK II will build upon the groundwork completed by SAEK I s mentioned above, based on the following elements (SDC External Review Recommendation 9)54:

54 Future assistance should build upon expanding or replicating those successful aspects SAEK I

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▪ Development of credible baselines on systemic corrupt practices and risks, from risk assessments and needs assessments, in the key sectors that are perceived as most corrupt;

▪ Establishment of a systemic approach combining institutional change with civil society empowerment to fight corruption;

▪ Further strengthening of partnerships with the public institutions, civil society, media and other development agencies in Kosovo;

▪ Proven track record of UNDP in capacity building and institutional development in the rule of law and anti-corruption area;

▪ Further increase citizens’ engagement in reporting corruption through social media and Information and Communication Technologies (ICT) tools;

▪ Address the gaps and weaknesses in the capacities of anti-corruption and related institutions, such as the Assembly of Kosovo to fulfill their mandates;

▪ Strengthen coordinated efforts in addressing public apathy and lack of trust in institutions; ▪ Support the increased transparency and accountability of central and local institutions, through

opening up governments and bridging the gap between institutions and citizens. ▪ Work with partners around better understanding the impact of policy and programmatic

interventions on gender empowerment and anti-corruption. The data revolution of the twenty-first century creates new potential for inclusive participation of civil society and substantive contribution to government processes. New technologies are leading to an exponential increase in the volume and types of data available. Societies are in a ferment of experimentation, innovation and adaptation to the new world of data. . Despite the sizeable progress, large groups of people continue to be left out of these processes. The full potential of data and technology has still not been unleashed in Kosovo and important aspects of people’s lives are not measured. Kosovo with its young and tech savvy population has the potential to utilize the limitless possibilities of the data revolution to improve governance and consequentially public services as well. In collaboration with the FutureScaper foresight engine, UNDP developed an interactive survey for respondents to identify the causes and effects of factors influencing employment opportunities. Respondents focused on increasing transparency and fighting against corruption; assuring equal opportunities for all. . The project will propose solutions to concrete problems55 to institutions and citizens to reduce corruption in Kosovo, building on examples of good practices derived from the experience of practitioners in the region. At the same time, SAEK II will continue to enhance participation of the public in decision-making through the use of technology and non-conventional media. Corruption is an enormous obstacle to the realization of all human rights — civil, political, economic, social and cultural, as well as the right to development. Corruption hinders economic development by distorting the market and damages public and private sector integrity. Weaknesses in governance will be addressed as proven to be strongly correlated with deficiencies in development. Bad governance has been associated with corruption, distortion of government budgets, inequitable growth, social exclusion, lack of trust in authorities as a result. Corruption has a disproportionate impact on women, and constitutes a barrier to gender equality. Strengthening the rule of law and promoting human rights are cornerstones of UNDP’s work to achieve sustainable human development and eradicate poverty. Through rule of law and human rights assistance, UNDP Kosovo has been and continues to contribute to building peace and democratic governance across

55 Limited institutional capacity, semi-functional coordination mechanism, lack of trust of citizens in public institutions, due to its widespread corruption becoming a social norm, a limited functioning of the rule of law institutions etc.

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the full range of development contexts. UNDP Kosovo facilitates broader UN rule of law efforts through its various projects to reform the judicial sector and strengthen the judicial integrity. Moreover, UNDP Kosovo is present in the anti-corruption sector since 2006, when it initiated the creation of an independent Anti-Corruption Agency and strengthened its capacities to prevent and fight corruption. By doing so, UNDP plays a crucial role in contributing toward Kosovo’s efforts to develop effective legal frameworks, to bolster institutions’ capacity to prevent and sanction corruption acts, to encourage public integrity, and to foster accountability, transparency and public participation. As noted earlier, Kosovo needed to strengthen coordination and inter-institutional cooperation of the anti-corruption bodies. SAEK I has achieved effective coordination of all anti – corruption bodies (National Council on Anti – Corruption, Prosecutorial Council, Judicial Council, Anti-Corruption Agency, Customs, Police, Financial Intelligence Unit, Agency for Seized Assets, and Office of the Auditor General). The project has established a Knowledge Management System (KMS), as a communication tool between the relevant stakeholders that has taken coordination a step further in comparison to the situation prior to this project. This improvement has contributed to better tracking cases related to corruption. SAEK II will continue with its efforts to improve coordination further by facilitating meetings and information exchange between the key stakeholders. In addition, it will support the Institutions to take ownership of the coordination process in the area of anti-corruption.

f. UNDP’s Comparative Advantage SAEK II approach is fully in line with UNDP’s global anti-corruption agenda. The comparative advantage on anti-corruption comes from our global development network, presence in 177 countries and territories and more than two decades of experience on anti-corruption programming. UNDP was one of the pioneer organizations in the early 1990s in developing programmes to address and curb corruption. The first generation of UNDP’s country level programmes on accountability, transparency and integrity were reinforced by the Programme for Accountability and Transparency (PACT) implemented at the global level. The PACT was guided by UNDP’s corporate policy paper ‘Fighting Corruption to Improve Governance’ (1998), which highlighted corruption as a development issue. Since then, UNDP has remained a leading provider of anti-corruption technical cooperation within its democratic governance portfolio. The advent of UNCAC in 2005 provided a new opportunity for UNDP to mainstream anti-corruption within a governance and development framework. In 2008, UNDP’s Strategic Plan reaffirmed that the basis of UNDP’s support on governance and anti-corruption is to support the achievement of internationally agreed development goals such as MDGs. In this regard, UNDP focuses on the eradication of poverty, supporting equitable and sustained economic growth, fostering democratic governance, promoting gender equality, and encouraging capacity building for human development. UNDP’s comparative advantages thus stem from the fact that UNDP views corruption and poor governance as a major bottleneck to the achievement of development goals, including the MDGs. To achieve the objectives of UNDP’s Strategic Plan, UNDP developed the Global Thematic Programme on Anti-Corruption for Development Effectiveness (PACDE). Anti-corruption initiatives in South Eastern Europe, including Kosovo, were designed upon UNDP PACDE’s successful experiences in strengthening democratic institutions, promoting inclusive participation including women’s empowerment, civil society, community and youth engagement, strengthening responsiveness and accountability of public institutions, and promoting programming countries’ compliances to the international norms and standards such as UNCAC. Anti-corruption programming of

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UNDP was anchored in the operating principles for development effectiveness namely national ownership, capacity development, effective aid management and South–South cooperation (SDC External Review Recommendation 12).56 UNDP Kosovo, with a 16-year history in programming in Kosovo, and longer in the broader region, corruption and integrity are key aspects of UNDP’s democratic governance mandate. It should be noted that, globally, roughly 30% of UNDP’s programme budget is invested in rule of law and security related results. In the region, the Istanbul Regional Hub hosts a variety of in-house expertise in thematic areas of relevance; members of the current project team also have specialised expertise in this area. In particular, UNDP’s ability to operate across Kosovo on the municipal level as well as at the central, institutional level provides a comparative advantage for its governance activities in Kosovo, including SAEK I. Political leverage is regularly sought by UNDP in support of the achievement of important developmental results, through standing meetings with the head of the European Commission, the Special Representative of the Secretary General and Ambassadors of influential countries. More specifically, the following areas reflect UNDP’s niche and comparative advantages on anticorruption:

1. With its longstanding engagement on strengthening institutions and supporting governance reforms, UNDP’s main area of strengths is supporting the prevention of corruption. UNDP is increasingly applying its governance approach to preventing corruption by integrating anti-corruption with other areas of governance support such as public administration reform, legal reforms, local governance, youth and women’s empowerment, and strengthening civil society and media.

2. Being the UN’s largest development network, UNDP has an ability to expand the normative agenda on anti-corruption such as UNCAC to a development plane by increasingly applying an integrated and multi-disciplinary approach to tackling corruption in major areas of development. UNDP has taken a lead globally in developing and implementing risk mitigation methodologies to integrate transparency, accountability and integrity into service delivery sectors (e.g. education, health, energy and mining), climate change, local governance and post-conflict reconstruction in more than 40 countries.

3. UNDP’s strength also lies in implementing a comprehensive approach that focuses on strengthening institutional capacity (the supply side of anti-corruption), facilitating the multi-stakeholder engagement with civil society, community, youth and women’s groups to provide monitoring and oversights to these reforms (the demand side of anti-corruption), applying multidisciplinary approach to reduce corruption risks by integrating transparency, accountability and integrity measures in various areas of development, and strengthening advocacy, results and knowledge management.

Finally, UNDP through SAEK l, has an established track record in on anti-corruption efforts and have made progress in establishing and constructive working relationship with key Kosovo institutions at central and local level, CSO’s and international players.

56 The UNDP should focus on those areas where it has a comparative advantage

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g. Theory of change

The goal of SAEK II is to reduce corruption in targeted Kosovo public institutions through a

supply and demand approach. The expected outcome of the SAEK II project will be measured

in institutional capacities to deter, detect and sanction corruption involving institutions and public

officials and effective civic engagement mechanisms to hold institutions accountable. The

intended impact of the project is decrease in level of corruption in targeted Kosovo public

institutions. This will be achieved through three expected results/outcomes:

In achieving its objective the project engages with central and local level institutions in the

following three components:

1. Enhancing policy, regulatory and monitoring framework on prevention and combatting

corruption;

2. Supporting AC institutions to detect and process corruption cases effectively; and

3. Strengthening civic engagement mechanisms to hold institutions accountable.

Outcome 1: Policy, regulatory and monitoring framework on the prevention and suppression of corruption enhanced

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In the new ToC the first outcome focuses on development of policies, legislation, plans and

strategies in line with international standards on anti-corruption in order to enable anti-corruption

institutions to oversee integrity and transparency of central and local institutions and of political

parties. The outcome 1 theory of change is that if selected institutions are supported to develop

policies, legislation, plans and strategies in line with international standards on anti-corruption and

aided in their implementation and monitoring, then anti-corruption institutions will demonstrate

increased compliance with principles of integrity, transparency and improved capacities to

suppress corruption. This is because of the policy and legislative framework once implemented

will close existing loopholes for corruption and ensure increased integrity and transparency

through integrity plans, and various e-tools e.g. asset declarations etc.

Outcome 2: Anti-corruption institutions detect and process corruption cases effectively

The second outcome focuses on strengthening the anti-corruption institutions and providing

them with the capacity and tools to effectively detect and combat corruption. The outcome 2 theory

of change is that if relevant anti-corruption institutions operate in line with an improved policy and

legislative framework and have improved capacities and tools to detect and reveal corruption then

these institutions will have the capacities to seize illicit assets and to ensure their repatriation to

the public budget.

Outcome 3: Civic engagement mechanisms to hold institutions accountable strengthened

The third outcome focuses on development civic engagement mechanisms through initiatives on

corruption reporting, referral and monitoring and on transparently displaying public expenditure

resulting in increased awareness on how corruption is tackled and capacities to hold public

institutions accountable. The outcome 3 theory of change is that if civic engagement

mechanisms are established and used through initiatives on corruption reporting, referral and

monitoring, on transparently displaying public expenditure and increased awareness on how

corruption is tackled, then the public institutions will be more influenced to be accountable to

citizens to follow anti-corruption rules and procedures.

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4. STRATEGIC CHOICES: Project outcomes and outputs Chart 1 – The new revised Theory of Change model

In the new ToC the first outcome focuses on development of policies, legislation, plans and

strategies in line with international standards on anti-corruption in order to enable anti-corruption

institutions to oversee integrity and transparency of central and local institutions and of political

parties. The outcome 1 theory of change is that if selected institutions are supported to develop

policies, legislation, plans and strategies in line with international standards on anti-corruption and

aided in their implementation and monitoring, then anti-corruption institutions will demonstrate

increased compliance with principles of integrity, transparency and improved capacities to

suppress corruption. This is because of the policy and legislative framework once implemented

will close existing loopholes for corruption and ensure increased integrity and transparency

through integrity plans, and various e-tools e.g. asset declarations etc.

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The second outcome focuses on strengthening the anti-corruption institutions and providing

them with the capacity and tools to effectively detect and combat corruption. The outcome 2 theory

of change is that if relevant anti-corruption institutions operate in line with an improved policy and

legislative framework and have improved capacities and tools to detect and reveal corruption then

these institutions will have the capacities to seize illicit assets and to ensure their repatriation to

the public budget.

The third outcome focuses on strengthening civic engagement mechanisms to hold public

institutions accountable. The outcome 3 theory of change is that if civic engagement mechanisms

are established and used through initiatives on corruption reporting, referral and monitoring, on

transparently displaying public expenditure and increased awareness on how corruption is

tackled, then the public institutions will be more influenced to be accountable to citizens to follow

anti-corruption rules and procedures.

The underlying factor for success of the overall theory of change is sufficient political will, strong

legal and administrative framework and sufficient capacity to implement the anti-corruption

agenda with particular focus on suppression of corruption.

Evaluating the theory of change, it has been found: Due to a shift of focus the from corruption

prevention to corruption suppression the original theory of change has been obsolete and the

actual theory of change has been reconstructed within the framework of the mid-term

evaluation. An evaluation of this reconstructed theory of change shows that the hypothesis are

plausible, the strategic reference framework is well anchored in the concept and the expected

results (outcomes, outputs) are clearly defined.

Table 2. Link to relevant strategies and plans.

UN/UNDP Key priorities/targets

SDG Goal 16 (direct

contribution/main goal):

Promote peaceful and

inclusive societies for

sustainable

development, provide

access to justice for all

and build effective,

accountable and

Target: 16.5 Substantially reduce corruption and bribery in all their

forms

Indicators:

16.5.1 Proportion of persons who had at least one contact with a

public official and who paid a bribe to a public official, or were

asked for a bribe by those public officials, during the previous 12

months

16.5.2 Proportion of businesses that had at least one contact with

a public official and that paid a bribe to a public official, or were

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inclusive institutions at

all levels

asked for a bribe by those public officials during the previous 12

months

Target: 16.6 Develop effective, accountable and transparent

institutions at all levels

Indicators:

16.6.1 Primary expenditures as a proportion of original approved

budget, by sector (or by budget codes or similar)

16.6.2 Proportion of the population satisfied with their last

experience of public services

SDG Goal 16 (indirect

contribution, through

integrity plans)

Target: 16.7 Ensure responsive, inclusive, participatory and

representative decision-making at all levels

Indicators:

16.7.1 Proportions of positions (by sex, age, persons with

disabilities and population groups) in public institutions (national

and local legislatures, public service, and judiciary) compared to

national distributions

SDG Goal 16 (indirect

contribution, through

legislative support and

support to Kallxo and

GAP)

Target: 16.10 Ensure public access to information and protect

fundamental freedoms, in accordance with national legislation and

international agreements

Indicators:

16.10.2 Number of countries that adopt and implement

constitutional, statutory and/or policy guarantees for public access

to information

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Goal 17 (indirect

contribution, through

international

agreements on access

to databases e.g. PEP

database).

Strengthen the means

of implementation and

revitalize the Global

Partnership for

Sustainable

Development

Target: 17.6 Enhance North-South, South-South and triangular

regional and international cooperation on and access to science,

technology and innovation and enhance knowledge-sharing on

mutually agreed terms, including through improved coordination

among existing mechanisms, in particular at the United Nations

level, and through a global technology facilitation mechanism

Indicators:

17.6.1 Number of science and/or technology cooperation

agreements and programmes between countries, by type of

cooperation

UN CDP 2016 – 2020

Priority Area 1:

Governance and Rule

of Law

Outcome 2.1: Institutions responsible for delivering public services

and social justice are accountable and responsive to rights holders

(through SAEK Outcomes 1 and 2)

Outcome 2.2: Key civil society actors increasingly influence the

accountability of governance for public services and social justice

(through SAEK Outcome 3)

Central level Key priorities/targets

National Development

Strategy (2016 - 2021)

Pillar 2: Good Governance and Rule of Law

Target 14: Increased judicial efficiency

Kosovo Anti-corruption

Strategy 2013 – 2017

All objectives, in particular, regarding implementation of Integrity

Plans and Asset Declaration

Kosovo Anti-corruption

Strategy 2018 – 2022

(pending approval)

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Kosovo Strategy

Against Organized

Crime 2012 – 2017 and

2018 – 2022

In particular regarding the role of the FIU, which is responsible for

receiving, analysing and disseminating information related to

money laundering and terrorist financing.

Kosovo Strategy for the

Prevention of and fight

Against Informal

Economy, Money

Laundering, Terrorist

Financing and Financial

Crimes 2014 – 2018

In particular regarding the role of the FIU, which is responsible for

receiving, analysing and disseminating information related to

money laundering and terrorist financing.

Local level Key priorities/targets

Kosovo Anti-corruption

Strategy 2013 – 2017

Implementation of Integrity Plans and Asset Declaration at the

local level

Kosovo Anti-corruption

Strategy 2018 – 2022

(pending approval)

2.4 Human rights and gender considerations

Considerations on the Human-Rights Based Approach and Gender Equality have been made part of the project design. Thus, for instance, gender equality considerations will be incorporated into the Corruption Risk Assessments and Integrity Plans, the training and capacity building activities will have an observance of at least 30% balance throughout the trainings, and gender expert assessments of the messages and accompanying imagery or concepts will be incorporated. In addition to this, gender aspects in corruptive practices will be included into existing and new training materials on anticorruption issues to be delivered at all training/capacity development events.

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Human rights considerations will be incorporated into the project activities by respect to the rights of civil servants: the right to privacy, right to protection of personal data as well as the right of nondiscrimination and the right to participation throughout all project activities for all participants. The project also directly addresses all four priorities singled out by the DMFA Human Rights Based Approach principles – namely, the transparency, accountability participation/inclusion –and non-discrimination principles through its operations. The table below illustrates how project will ensure human rights based approach with concrete examples:

participation Engagement of citizens to enable them to take part in concrete processes (Public hearings, access to information, engagement through Kallxo.com) especially at local level in order to maintain the citizen’s interest, commitment and faith that individuals can create change.

accountability Support institutions to develop accountability mechanisms through integrity plans, open data, participatory planning, and opening governments through use of social media and ICT tools.

non-discrimination SAEK ensures equal participation of all citizens of Kosovo regardless of gender and ethnic backgrounds. SAEK cooperates with municipalities with mixed ethnicities and makes special emphasis on inclusion of women and people with disabilities in the process.

transparency The project will continue to support institutions to develop systems that ensure transparency of their work such as e-procurement, e-recruitment, e-spending and engagement of kallxo.com to livestream discussions of municipal assemblies and decision making.

2.5 Partnership and donor coordination

Establishing and maintaining strategic partnerships with local and international stakeholders engaged in the area of anti – corruption is an important factor in ensuring effective interventions. Buy-in from project beneficiaries and key partners, such as KAA, KJC, KPC, ODP, Kosovo Police, and others is crucial; it ensures that project activities are designed to reflect the needs of the beneficiaries and to instigate sustainable and long – term change and results. A need for strengthened coordination and partnership between local and international stakeholders was highlighted also in the mid – term review of the current SAEK I project. Building on past and present work in the area of rule of law, most notably as the main partner of the Ministry of Justice in drafting of the Rule of Law Strategy and main partner of the KAA in anti – corruption efforts in Kosovo, UNDP is best placed to facilitate coordination of local and international stakeholders by supporting the work of the National Anti – Corruption Council, established and functioning under the auspices of the President of Kosovo. In addition, SAEK II will further build on the results of SAEK I as a facilitator between anti – corruption institutions and CSOs, in particular, continuing with the meetings of the Knowledge Management System (KMS) comprised of focal points from the anti – corruption institutions and civil society organisations. KMS will ensure that communication and exchange of information between respective institutions and CSO’s is maintained and strengthened. The project will continue to serve as a facilitator of the dialogue and regular communication between all relevant stakeholders through the existing mechanisms (NCAC) and events related to project activities, donor mapping and improved reporting procedures. In addition, SAEK ll will continue to support the KAA

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and officials of duty-bearing institutions in their dialogue with the civil society community and citizens. Moreover, KAA will be the leading institution during the first UNCAC review for Kosovo. SAEK II will also maintain close partnership with the Council of Europe Project against Economic Crime (PECK II), to be funded by EU which will start in September 2015. As both of these projects support KAA, coordination of activities between two projects is crucial in order to avoid overlap and to have activities targeted to the needs of the KAA. As, PECK is mainly oriented towards the area of money laundering and other economic crimes, which neither SAEK I nor SAEK II covers, it seems that such overlap is avoided. However, regular quarterly meetings will be organized between two projects in order to ensure a concerted effort and intervention (SDC External Review Recommendation of UNDP SAEK 1)57. UNDP has traditionally enjoyed an excellent working relationship with the Council of Europe [CoE] and, in the absence of Kosovo-led coordination; UNDP has been keeping the CoE abreast of all of its activities in the area of good governance. There are frequent exchanges on the working level with regards to the PECK II project and UNDP provides information to the Member States plus II meetings on Rule of Law [last meeting was on this subject]. UNDP will continue to meet with the CoE and other players in the anti-corruption sector to exchange on areas of interventions and avoid overlap. The CoE will also be invited to serve on the project board for the next phase of SAEK, along with OSCE, which has also begun some activities in the field of anti-corruption in Kosovo. While based on principles of Paris Declaration on Aid Effectiveness, country ownership is the cornerstone of alignment; recent experiences have shown that effective locally-led coordination in anti-corruption is not to be expected in the absence of greater political will and without further encouragement from the international community. To help create an enabling environment for improved coordination, it is proposed the next phase of SAEK will include a regular platform for exchange of information and coordination, co-facilitated by the project team and local authorities that will help to institutionalize working level relationships of trust and collaboration amongst key stakeholders working towards increased integrity and transparency in Kosovo. Another project supporting the KAA is a World Bank Project on capacity development in prevention of corruption in public procurement. The project started in 2013 and will end in 2015. The project functions through two advisers embedded in the KAA. SAEK will coordinate with the project so that any future technical expertise provided through embedded advisers build upon and do not replicate the assistance provided by the World Bank. SAEK will also closely coordinate with the OSCE Project on Enhancing capacities of the Kosovo Police to fight high-level corruption. The project has started in April 2015 and will finish in December 2015. The main objective of this project is to train police officers in investigation techniques. SAEK will coordinate with the project so that any future training organized under SAEK II build upon and do not replicate the assistance provided by OSCE. SAEK will also closely coordinate with the EU funded project supporting the Kosovo Judicial Council and Kosovo Prosecutorial Council implemented by Human Dynamics. The project will end in April 2016. One of the components of this project supports the Office of the Disciplinary Prosecutor. SAEK will coordinate activities with this project in order to have one voice in advocating the need for a separate law for the Office of the Disciplinary Prosecutor in order to ensure full independence of this office (SDC External

57 A close working relationship should be established between SAEK support to the KAA and the CoE project funded by the IPA

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Review of UNDP SAEK Recommendation 2).58 Moreover, UNDP SAEK will identify further opportunities for synergies in its regular meetings with EULEX. EULEX is already invited to all board meetings of SAEK [as are many of the other relevant international stakeholders]. The potential for more specific collaboration in the achievement of common results will be actively pursued in the context of both SAEK I and SAEK II programming and will be reported upon in late 2015. Other donors involved in this area of anti-corruption are the Embassy of Norway and the British Embassy which supports small scale and grant based anti – corruption activities. Another project in the AC area is the US Embassy project of Anti – Corruption Campaign in Northern Kosovo. SAEK II will also coordinate its activities with existing projects within UNDP, in particular with the Rule of Law Project and Transitional Justice Project.

Finally, the project will also extensively benefit from the support of the UNDP Istanbul Regional Hub (IRH), which will facilitate coordination and synergies with similar initiatives in the Western Balkans and the Europe and CIS region in terms of expertise and guidance. The project will be able to rely on regional knowledge and lessons learned which might be applicable also to Kosovo. Graph 4 Mapping of donor interventions in anti-corruption

58 Similar close collaboration should be maintained between SAEK and other donors / EULEX providing assistance to the ODP and other parts of the judiciary

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5. MANAGEMENT ARRANGEMENTS

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The project Board: The role of the Project Board as part of the Quality Assurance process, will monitor projects progress, lessons and decide on the way forward. Project Board will meet twice a year, in order to address the following questions:

▪ Is the project still relevant and effectively contributing to the intended outcomes? ▪ Is the project yielding the desired results? ▪ Are risks managed? ▪ Is the project being implemented as planned? ▪ Is there a need to redesign, cancel or modify the project in any way in order to ensure meaningful

contribution to development results? The Board contains three roles:

▪ Executive (role represented by UNDP); ▪ Senior Supplier (role represented by SDC, DANIDA, and NOR) that provides guidance regarding

the technical feasibility of the project, and use of programme resources; ▪ Beneficiary (represented by national stakeholders)

The Project Board will hold meetings on a semi-annual basis, or more frequently if deemed necessary. The Board will monitor programme progress, decide on strategic decisions to ensure continued coherence

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between implementation and goals and objectives, decide on annual work plans and budgets, revise annual plans and budgets, as well as requests for funds presented by UNDP. Amendments to the budget, including use of contingencies, will be subject to the approval of the Project Board. UNDP programme coordinator and portfolio manager will maintain regular communication to ensure high quality of project outputs. The management of the project will be carried out by the UNDP SAEK Project Team in Kosovo within the overall framework of the UNDP Kosovo Programme Action Plan 2012-2016 in a Direct Implementation Modality (DIM). UNDP shall be responsible for the overall management and administration of the project, primarily with regard to the responsibility for the achievement of the outputs and the stated outcome. Similarly, UNDP will be accountable to the project Board for the use of project resources. UNDP will delegate managerial duties for the day-to-day running of the Project to the Project Manager, selected by UNDP through a competitive and transparent selection process. In addition to the project Board, the Project Quality Assurance and Project Manager will partake in work of a joint coordination group between SDC, DANIDA, NOR, UNDP and other project donors, thereby ensuring programmatic monitoring. The Project team will monitor progress towards the programme’s objectives and report accordingly. The Project Manager has the authority to run the project on a day-to-day basis on behalf of the Project Board within the constraints laid down by the Project Board. The Project Manager is responsible for day-to-day management and decision-making for the project. The Project Manager’s prime responsibility is to ensure that the project produces the results specified in the project document, to the required standard of quality and within the specified constraints of time and cost. The Project Manager will report directly to the UNDP Programme Coordinator. The team will consist of: Project management

▪ Project Manager (responsible for managing the capacity development of and ties with institutions/partners at the national and local levels, providing guidance and expert inputs into all outcomes, achieving the overall project outputs and day-to-day management of the project);

▪ Project Officer (responsible for Outcome II and taking lead in judicial integrity and gender considerations throughout the project)

▪ Project Officer (responsible for Outcome III and taking lead on innovation and usage of non-conventional media throughout the project, as well as responsible for the overall communication and outreach of the project).

Technical advisors

▪ International Chief Technical Advisor (deployed for the duration of project implementation as the a higher-level practitioner, with experience in anticorruption preventive bodies in other countries, and is able to advise both the direct beneficiaries and the project team on best ways to proceed with shaping and implementing concrete activities) – responsible for strategic-level advice and

54

transfer of knowledge and skills to the project team and ensuring the monitoring and evaluation on regular basis;

▪ Anti-Corruption Advisor (responsible for Outcome I and taking lead in all thematic anticorruption areas of project implementation, assisting the team with quality assessment of the products delivered with project support);

The project team shall have the capacity to motivate people and to build relationships with colleagues, partners, beneficiaries, government authorities, donor organizations and other stakeholders. Organizational, HR, procurement, IT and other related issues will be provided by UNDP Kosovo through a Project Associate working specifically for the project. ToRs for each project position are attached as separate annexes.

Project Quality Assurance The project quality assurance is provided by UNDP programme. The programme team will support the Project Board by carrying out objective and independent project oversight and monitoring functions. The programme team ensures appropriate project management milestones are managed and completed. The programme team conducts meetings with stakeholders and targeted institutions to ensure the project is on track, in line with strategic priorities and takes in to account emerging needs. UNDP Programme Coordinator and Portfolio Manager holds the Project Assurance role. Quality assurance on implementing a project is conducted to achieve project outputs as defined in SAEK ll project document / Annual Work Plan through implementation and monitoring. More specifically:

• Overseeing the management of the overall conduct of the project including site and field visits;

• Regular monitoring of progress and ensure the project is on track and in line with needs of target institutions;

• Ensuring that any emerging changes are agreed between all parties and are implemented on effective manner;

• Ensures continuous monitoring of risks and mitigation strategy;

• Ensures that reporting on progress includes measures to address lessons, challenges and opportunities;

• Monitor that resources by donors entrusted to UNDP are utilized appropriately;

• Ensure ownership, ongoing stakeholder engagement and sustainability;

• Regular financial reports and narrative reports are submitted.

The project stakeholder circle (please consult Annex 3 – Diagram: Project Partners) consists of the following entities:

▪ Inner circle: direct beneficiary and or primary partner (KAA, KPC, KJC, KPC, ODP) ▪ Middle circle: indirect beneficiary (MoJ, KJI, Police, KBA, Customs, Agency for Gender Equality) ▪ Outer circle: stakeholders and wider beneficiaries (NCAC, AoK, partnering donors agencies

including OSCE, CoE, World Bank, GIZ, USAID)

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The project will receive overall guidance and strategic direction from the Project Board (PB). The Board is the group responsible for making consensus-based management decisions for the project when guidance is required by the Project Manager, including recommendation for approval of project revisions. Project reviews by this group are made at designated decision points during the running of a project, or as necessary when raised by the Project Manager. This group is consulted by the Project Manager for decisions when tolerances (i.e. constraints normally in terms of time and budget) have been exceeded. The Project Board will consist of representatives of national stakeholders, UNDP Kosovo, SDC, DANIDA, and NOR and will be chaired by UNDP. Other stakeholders will have an opportunity to partake in Board meetings as agreed between Board members.

Audit arrangements

The Project is subject to standard UNDP audit arrangements. Being a subsidiary organ of the UN General Assembly and fully a part of the United Nations, UNDP enjoys a special status deriving from the UN Charter, the general legal framework of the UN, including the privileges and immunities enjoyed by the organization pursuant to the Convention on the Privileges and Immunities of the UN adopted by the General Assembly in 1946. In accordance with this status, audits of UNDP are guided by the ‘single audit’ principle. Under that principle, any review by any external authority, including any governmental authority, is precluded under regulation 7.6 of the Financial Regulations and Rules of the United Nations, which provides that “the Board of Auditors shall be completely independent and solely responsible for the conduct of audit.” This principle was reaffirmed by the General Assembly in its resolution 59/272: “The General Assembly [...] 11. Reaffirms the role of the Board of Auditors and the Joint Inspection Unit as external oversight bodies, and, in this regard, affirms that any external review, audit, inspection, monitoring, evaluation or investigation of the Office can be undertaken only by such bodies or those mandated to do so by the General Assembly”.

Financial management

Financial management of the project will be conducted under UNDP Financial Regulation and Rules (FRR). FRR are regulations that govern the financial management of the United Nations Development Programme and shall apply to all resources administered by UNDP and to all the Funds and Programmes administered by the Administrator. They ensure acceptable levels of controls, as well as separation of duties. The new FRR are issued effective 1 January 2012, and govern the broad financial management of UNDP and the funds administered by UNDP, including the budgeting and accounting of resources. They have been updated to reflect the adoption of IPSAS and its terminology; and the revised harmonized cost classifications of the Joint report of UNDP, UNFPA and UNICEF on the road map to an integrated budget. Financial reporting mechanisms for SAEK ll will be in compliance with the UNDP rules and procedures and also in conformity with the reporting requirements of the donors. In addition to periodical financial reports, ad-hoc reporting will be also utilized as per the request of each respective donor.

Intellectual property rights and use of logo Project materials, publications, print or digital deliverables will be branded by the relevant UNDP logo and typography (subject to corporate brand-book) and SDC/DANIDA logo. All intellectual products produced

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under the SAEK II Project will be equipped with a standard UNDP intellectual property right disclaimer and, at discretion and agreement with SDC/DANIDA may be placed into creative commons.

6. MONITORING FRAMEWORK AND EVALUATION The project will be monitored as specified in the Gantt chart attached as annex to the project document through the following:

- A midyear narrative and financial progress report capturing inputs, results challenges and potential required changes;

- An annual narrative and financial progress report capturing inputs, results challenges and potential required changes.

Specifically, within the annual cycle:

▪ On a quarterly basis, a quality assessment shall record progress towards the completion of key results, based on quality criteria and methods captured in the Quality Management table.

▪ An Issue Log shall be activated in Atlas and updated by UNDP to facilitate tracking and resolution of potential problems or requests for change.

▪ Based on the initial risk analysis submitted, a risk log shall be activated in Atlas and regularly updated by reviewing the external environment that may affect the project implementation.

▪ Based on the above information recorded in Atlas, a Project Progress Reports (PPR) shall be submitted to the Project Advisory Board using the standard report format.

▪ A project Lesson-learned log shall be activated and regularly updated to ensure on-going learning and adaptation within the organization, and to facilitate the preparation of the Lessons-learned Report at the end of the project.

▪ A Monitoring Schedule Plan shall be activated in Atlas and updated to track key management actions/events.

At the end of the project: ▪ Final Project Review Report. A Final Project Review Report shall be prepared and shared with the

Project Board. As minimum requirement, the Final Project Review Report shall consist of the Atlas standard format for the Quarterly Progress Report (QPR) covering the whole year with updated information for each above element of the QPR as well as a summary of results achieved against pre-defined annual targets at the output level.

▪ Final Project Review. Based on the above report, a final project review shall be conducted during the fourth quarter of the year or soon after, to assess the performance of the project. As this project is of one year’s duration, this review will be a final assessment. This review is driven by the Project Board and may involve other stakeholders as required. It shall focus on the extent to which progress is being made towards outputs, and that these remain aligned to appropriate outcomes.

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7. SUSTAINABILITY AND EXIT STRATEGY

Since 1999, UNDP has been providing a strong support to the rule of law and democratic governance sector in Kosovo. As an active partner to the GOK, UNDP engaged in the strengthening of the local judiciary as well as prosecutorial functions, assisted the bar association as well as the development of mediation centers, started a transitional justice project to further the reconciliation process and has worked in parliamentary reform processes. Phase II of the SAEK projects builds on SAEK Phase I. The direct stakeholders that benefited from Phase I were KAA, KPC, KJC, and ODP. SAEK II through a short startup phase will build upon the results and shortages of Phase I, to ensure that measurable results are achieved in Phase II based on direct stakeholder inputs and identified needs. All capacity development efforts through tailored made trainings, learning from international experiences and on the job training and mentoring will be delivered with the sustainability element in mind. Skills beneficiaries will be able to exercise those in practice through direct involvement in the implementation of project activities. Representative of partner institutions will play a crucial role in monitoring of implementation on day to day bases and as key members of project steering committee. They will be supported by the project team to capture results and identify opportunities to build on them, as well as identify obstacles and challenges and undertake the necessary measures to address them adequately. Project periodic results will be highlighted and presented by institutions in the project steering committee meetings and the decision on the next steps of the project will be jointly reached in the forum. The project will be implemented as part of the institutions day to day work for ensuring high degree of adoption of best practice and implementation by their side. The political support in Kosovo is sufficient to ensure success in implementation of activities outlined for the intervention and to reach the envisaged results, outcomes and targets. Certain anti-corruption institutions have clear mandates and a certain political will. They will be brought in not only as beneficiaries but partners to contribute to implementation of project activities. As close partners in this process, the ownership and leade4rship of the process will be demonstrated by partner institutions, hence, project results sustainability will be achieved. In general, the provision of assistance will be guided by the principle of national ownership for sustainability of actions. Significant degree of commitment and ownership was demonstrated during implementation of SAE l and during consultation process with local stakeholders for the SAEK ll. Ownership and commitment was also demonstrated during consultations with stakeholders for design of SAEK ll. The project activities will be implemented by under the leadership of partner institutions in Kosovo with direct support of UNDP experts and partner stakeholders. As stakeholder engagement is key to success of the project, institutional change will be locally driven and owned, with UNDP and relevant partners providing support and guidance. Development of strategic planning capability, in partnership with key stakeholders, will support the ability of the beneficiaries to ensure that the identified activities are in line with Kosovo’s strategic priorities. The institutional change is to a large extent driven by the EU approximation process and aspiration for the EU membership and is, as such, embedded in Kosovo’s strategic framework, which should ensure sustainability. Legal context

59

This document together with the CPAP signed by the donor and UNDP which is incorporated by reference constitute together the instrument envisaged in the Supplemental Provisions to the Project Document, attached hereto.Consistent with the Supplemental Provisions, the responsibility for the safety and security of the executing agency and its personnel and property, and of UNDP’s property in the executing agency’s custody, rests with the executing agency. The executing agency shall:

a) Put in place an appropriate security plan and maintain the security plan, taking into account the security situation in the country where the project is being carried;

b) Assume all risks and liabilities related to the executing agency’s security, and the full implementation of the security plan.

UNDP reserves the right to verify whether such a plan is in place, and to suggest modifications to the plan when necessary. Failure to maintain and implement an appropriate security plan as required hereunder shall be deemed a breach of this agreement. The executing agency agrees to undertake all reasonable efforts to ensure that none of the UNDP funds received pursuant to the Project Document are used to provide support to individuals or entities associated with terrorism and that the recipients of any amounts provided by UNDP hereunder do not appear on the list maintained by the Security Council Committee established pursuant to resolution 1267 (1999). The list can be accessed via http://www.un.org/Docs/sc/committees/1267/1267ListEng.htm. This provision must be included in all sub-contracts or sub-agreements entered into under this Project Document.

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SAEK ll: SAEK ll: Results and Resource Framework (2018 – 2020)

Project title and ID (ATLAS Award ID): Support to Anti-Corruption Efforts in Kosovo (SAEK) II

Project Objective: Institutions able to deter, detect and sanction corruption involving institutions and public officials.

Impact: Level of corruption in targeted Kosovo public institutions has decreased.

Impact Indicator 1: Citizens’ perception on corruption prevalence in Kosovo at central level and local level institutions.

Impact Baseline 1: UNDP Kosovo Public Pulse prevalence of corruption in health 52.6%, energy 44.7%, education 29.3%, central institutions

38.5%, and local institutions 33.8%.

Impact Baseline 2: Corruption Perception Index (CPI) rank for Kosovo is 95th out of 180 in 2016.

Impact Baseline 3: Corruption Perception Index (CPI) for Kosovo is 36 in 2016.

Impact Target 1: At least 5% decrease of citizen’s perception on prevalence of corruption in targeted institutions (health, energy, and education

selected central and local institutions) by 2020.

Impact Target 2: CPI rank for Kosovo is 75th in 2020 (20 places rise).

Impact Target 3: CPI for Kosovo is 46 in 2020 (10 point rise).

Note: The Corruption Perceptions Index (CPI) ranks countries and territories based on how corrupt their public sector is perceived to be. A country

or territory’s score indicates the perceived level of public sector corruption on a scale of 0 (highly corrupt) to 100 (very clean).

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Links:

SDG Goal 16: Promote peaceful and inclusive societies for sustainable development, provide access to justice for all and build effective, accountable

and inclusive institutions at all levels

SDG 16 Target: Substantially reduce corruption and bribery in all their forms

SDG 16 Target: Develop effective, accountable and inclusive institutions at all levels

Kosovo UNCDP (2016-2020) Outcome 2.1: Institutions responsible for delivering public services and social justice are accountable and responsive

to rights holders

Kosovo UNCDP (2016-2020) Outcome 2.2: Key civil society actors increasingly influence the accountability of governance for public services and

social justice

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Outcome 1: Policy, regulatory and monitoring framework on the prevention and suppression of corruption enhanced

Outcome Indicators:

1.1 Number of anti-corruption policies and laws developed in line with the UNCAC and relevant international standards and adopted by the

responsible anti-corruption institutions, by 2020;

1.2 Number of measures completed of the Action Plan of the Anti-Corruption Strategies 2013-2017 and 2018 – 2022, by 2020;

1.3 Number of public institutions that have completed integrity plans and undergone a monitoring review by the KACA (at least 25 public

institutions until 2020);

Baseline:

1.1 5 laws partially in line with UNCAC and international standards59 1.2 50% implemented of 2013-2017 Strategy (2016); 0% implemented of 2018-2022 Strategy 1.3 5 integrity plans adopted and 0 monitored (2016)

Target:

1.1 5 laws fully in line with UNCAC and international standards by 2020 (status: CoI entered into force; Law on Judges Liability awaiting

president’s signature; Political Party Financing with the AoK; Law on KACA and Law on Assets at the MoJ working group drafting level)

1.2 70% in 2017 of the first strategy, 25% in 2020 of the second strategy (status: 70% completed in the first strategy; strategy 2 not yet

adopted but measures underway)

1.3 25 integrity plans adopted and 10 monitored by 2020 (status: 21 adopted, 0 monitored till 2018)

Sources of verification:

1.1 Official gazette and internal reports; 1.2 Report of the Kosovo Anti-Corruption Agency; 1.3 Report of the Kosovo Anti-Corruption Agency

63

INTENDED OUTPUTS

INDICATIVE INTERVENTIONS RESPONSIBLE

PARTIES

INPUTS

Output 1.1: Anti-corruption legislation and

policies developed and capacities

for implementation fostered

Indicators:

1.1.1 2018-2022 Anti-corruption Strategy and Action Plan adopted by the Assembly of Kosovo

1.1.2 Amendments to the Law on the Anti-corruption Agency adopted by the central level authorities

1.1.3 Amendments to the Law on High Officials Assets and Income Declarations submitted to the central level authorities

Activity results

1.1.1 Anti-corruption Strategy and Action Plan 2018-2022 drafted (completed 2017). N.B. Approved by the central level authorities in March 2018, but due to a technical error in the request sent to the AoK not yet approved by them. We are working on rectifying the PM Office’s mistake.

1.1.2 Amendments to the Law on the Anti-corruption Agency drafted (on-going since May 2017, to be completed by April 2018)

1.1.3 Amendments to the Law on High Officials Assets and Income Declarations drafted (on-going since May 2017, to be completed by April 2018)

Kosovo Anti-

Corruption Agency

Prime Minister’s

Office for Legal

Support Services

Ministry of Justice

UNODC

Local and central

level institutions

Assembly of Kosovo

Embedded

adviser (KACA

from 2017-

2020)

Embedded

adviser

(municipal level

from 2017-

2020)

Embedded

adviser (AoK

Legislative

Committee,

planned from

2018-2019)

59 Law on KACA, Law on High Officials Assets and Income Declarations, Law on Political Party Financing, Law on Disciplinary liability of judges and prosecutors

64

1.1.4 Amendments to the Law on Financing of Political Entities/Law on General Elections submitted to the central level authorities

1.1.5 UNCAC GAP Assessment completed and submitted to central level authorities

1.1.6 Integrity plans developed and adopted by public sector institutions

Baselines:

1.1.1 2012-2017 Anti-corruption Strategy and Action Plan

1.1.2 No amendments drafted

1.1.3 No amendments drafted

1.1.4 No amendments drafted

1.1.5 No UNCAC GAP assessment conducted

1.1.6 5 municipalities adopted integrity plans

Targets:

1.1.1 Anti-corruption Strategy adopted, implemented and monitored

1.1.2 Amendments adopted and implemented

1.1.4 Amendments to the Law on Financing of Political Entities/Law on General Elections drafted (since March 2017, completed October 2018)

1.1.5 UNCAC GAP Assessment completed (on-going since September 2016, to be completed by December 2019). N.B. originally planned for 2017-2018 but put on hold due to the authorities’ time commitments on conducting a GRECO assessment and a functional review of the justice sector and will now be led by SAEK with approximately 20 officials from all relevant anti-corruption bodies and UNODC. The aim is to have Kosovo authorities through this self-assessment tool identify legal and implementation gaps in the anti-corruption framework that are not in line with the UNCAC.

1.1.6 Integrity plans for central level and local level public institutions completed (21 completed till 2018, focal points to be trained in 2019/2020). N.B. work was stopped in 2018 due to an assessment that integrity plans should first be legislated and then a proper monitoring mechanism put in place. The legislative amendments are being drafted and the monitoring system will be established in 2019.i

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1.1.3 Amendments adopted and implemented

1.1.4 Amendments adopted and implemented

1.1.5 UNCAC GAP assessment completed

1.1.6 At least 10 integrity plans completed and adopted

Output 1.2: Anti-corruption monitoring

framework established and

functional

Indicators:

1.2.1 Number of monitoring meetings held among responsible institutions for implementing the AC strategy

1.2.2 Number of public sector institutions that have uploaded integrity plans onto the KACA based E-tool

1.2.3 Number of pieces of legislation reviewed by 2020.

1.2.4 Sentencing guidelines adopted by the Supreme Court and review of sentencing practice according to new guidelines completed

Activity Results

1.2.1 Monitoring mechanism for the Anti-corruption

Strategy and Action Plan established

(scheduled for 2019/2020). N.B. monitoring

of the implementation of anti-corruption

policy was done through the PM’s High Level

Dialogue monthly meetings in 2018. This

process has been completed and the embedded

adviser in the PM’s office has completed his

tasks.

1.2.2 E-tool for uploading, submitting and

monitoring integrity plans developed and

functioning (scheduled for 2019/2020)

1.2.3 Corruption proofing of legislation system

functioning within the KACA (on-going till

2020, methodology developed in 2018, 3

trainings for officials completed in 2018,

Kosovo Anti-

Corruption Agency

Local and central

level institutions

Supreme Court

Embedded

adviser (KACA

from 2017-

2020)

Embedded

adviser

(municipal level

from 2017-

2020)

Embedded

adviser (PM’s

office 2018)

MoU with

Supreme Court

for conducting

review of

sentencing

guidelines

signed in 2018

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Baseline:

1.2.1 No monitoring meetings held

1.2.2 No e-tool for integrity plans

1.2.3 No legislation has been corruption proofed

1.2.4 No sentencing guidelines in existence

Target:

1.2.1 At least 3 AC strategy and Action Plan monitoring meetings held by 2020

1.2.2 E-integrity plan tool established and used by at least 5 public sector institutions

1.2.3 At least 3 pieces of legislation proofed by 2020.

1.2.4 At least 10 corruption sentences reviewed against the new sentencing guidelines

draft legislation to introduce corruption

proofing developed in 2018)

1.2.4 Sentencing guidelines developed and

monitored in terms of corruption cases

(sentencing guidelines adopted in 2018,

working group meeting regularly from

2018 through 2020, monitoring of

sentencing practice underway and to

continue through 2020 based on which a

review of the sentencing guidelines will be

carried out)

and will

continue

through 2020

Group for Legal

and Political

Studies (GLPS),

and American

Chamber of

Commerce

(AMCHAM)

grants from

2017-2018

Outcome 2: Anti-corruption institutions detect and process corruption cases effectively

Outcome indicators:

2.1 Percentage of asset declarations made electronically and number of red flags generated

2.2 Number of individuals investigated through e-platforms

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2.3 Number of sectors that have undergone a corruption risk assessment and level of monitoring and implementation reports

2.4 Number of analytical reports and communications on corruption published by institutions

Baseline:

2.1 0% e-declarations in 2016

2.2 0 individuals investigated through e-platforms

2.3 3 corruption risk assessments completed in 2016 (Health, Education, Judicial Integrity). No monitoring and implementation completed.

2.4 KACA and OCP publish on an annual basis and conduct irregular communications activities

Target:

2.1 100% e-declarations by 2020 (status: legal amendments drafted to introduce e-declarations; for case management system and e-

declaration system the IT database developed, data migration underway, training of KACA staff underway, and troubleshooting underway

in December 2018)

2.2 20 cases investigated through e-platforms (status: in 2018 the MoU legal framework for the prosecution database has been completed and

the IT specifications are under development; the PEPs database within the FIU is fully functional in December 2018 and 2 PEPs individuals

investigated by FIU)

2.3 5 new corruption risk assessments by 2020 (status: 2016 extractive industries, 2018 GLPS Kosovo Accreditation Agency, Chamber of

Advocates; 2018 National Risk Assessment for Money Laundering; 2019 planned Notaries, 2020 planned Bailiffs). 2 monitoring and

implementation reports published by 2020.

2.4 KACA and Office of the Chief Prosecutor continue to publish annually, and conduct regular communications activities in line with relevant

strategies

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Sources of verification:

2.1 KACA annual report

2.2 Prosecution reports, FIU reports

2.3 Published reports

2.4 KACA and OCP reports and communication plans

INTENDED OUTPUTS

INDICATIVE INTERVENTIONS RESPONSIBLE PARTIES INPUTS

Output 2.1: E-mechanisms for corruption

detection and processing

established

Indicators:

2.1.1 E-declaration system developed

2.1.2 PEPs searchable database access provided to FIU and used by analysts

2.1.3 KACA case management system developed

2.1.4 E-tool for accessing criminal and financial records developed

Baseline:

2.1.1 Paper based assets and income

declaration system

ACTIVITY RESULTS

2.1.1 E-declarations established for public

officials assets and income (on-

going since May 2018, to be

completed 2019)

2.1.2 E-tool for monitoring PEPs

functioning by providing access to a

global database used by FIUs and

law enforcement agencies of assets

held by PEPs and related persons

(started November, completed

December 2018)

2.1.3 E-tool for case management system

of preliminary investigations within

KACA established (on-going since

May 2018, to be completed 2019)

KACA

FIU

Office of the Chief Prosecutor

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2.1.2 No PEPs database for searching assets

in the FIU

2.1.3 Paper based files of cases within the KACA

2.1.4 Paper based requests to access

criminal and financial records sent by

the prosecution to other investigative

authorities

Targets:

2.1.1 50% of high public officials declare

assets on the online e-system by 2020

2.1.2 FIU regularly uses database to

monitor PEPs (at least 10 cases per

year)

2.1.3 All active cases filed in the case

management system by 2020

2.1.4 At least 20 individuals investigated using the e-tool for accessing financial and criminal records by 2020

2.1.4 E-tool for direct access for the Office

of the Chief Prosecutor to financial

and criminal records within the

Police, Tax Administration, Customs

Administration, Cadastre

established (legal framework

drafting started in January 2018

and completed in December

2018, IT system to be completed

in 2019)

Output 2.2: Analytical and specialized

investigative capacities in relevant

institutions established

ACTIVITY RESULTS

FIU

Office of the Chief Prosecutor

70

Indicators:

2.2.1 At least 50 financial crime investigators trained and at least 30 investigators licensed in fraud examination.

2.2.2 PEPs Typologies published

2.2.3 Number of sectoral/institutional corruption risk assessments completed

2.2.4 Kosovo’s Money Laundering National Risk Assessment submitted to central level authorities

2.2.5 Report on Review of Corruption Cases submitted to the President of the Supreme Court and the Chief Prosecutor

2.2.6 Number of cases on unethical behaviour of judges & prosecutors processed by Office of the Disciplinary Prosecutor (ODP)

Baselines:

2.2.1 No accredited licensed fraud

examiners within investigative bodies

2.2.2 No assessment of how PEPs launder illicit proceeds in Kosovo conducted

2.2.1 Financial crime/corruption criminal

investigators trained and

specialized in conducting financial

investigations (financial

investigation specialized course

completed in 2016 (25

investigators); Tax Evasion

specialized course completed in

2017 ( (3 courses, 11

investigators); Accredited

Licensed Fraud Examination and

Forensic Accounting course

completed in 2018, 45

investigators).

2.2.2 Typologies of money laundering of

Politically Exposed Persons (PEPs)

developed (completed in 2018)

2.2.3 Sectorial/institutional corruption

risk assessments completed

(Extractive industries completed

in 2016, Chamber of Advocates

completed in 2018, Notaries and

Private Bailiffs scheduled for

2019 and 2020, Group for Legal

and Political Studies (GLPS) risk

assessment of the Kosovo

Accreditation Agency completed

in 2018, AMCHAM Business Ethics

Police

Tax Administration

Customs Administration

Supreme Court

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2.2.3 Health, Education, Judicial sector corruption risk assessments completed (2016)

2.2.4 2014 National Risk Assessment

2.2.5 No external impartial evaluation of

completed corruption cases has been

conducted

2.2.6 30% of cases on unethical behaviour

of judges & prosecutors processed by

Office of the Disciplinary Prosecutor

(ODP) (2014)

Targets:

2.2.1 At least 30 licensed fraud examiners

within investigative bodies, 50 trained

through specialized courses

2.2.2 PEPs typologies published and

presented to stakeholders

2.2.3 At least 3 sectoral/institutional corruption risk assessments completed

2.2.4 Money Laundering National Risk

Assessment adopted by central level

authorities

survey and recommendations

completed in 2018)

2.2.4 Kosovo Money Laundering National

Risk Assessment developed through

surveys, input by the Ministry of

Finance Working Group on the NRA,

chaired by the FIU. The NRA

analyzes risks, threats and

vulnerabilities within all financial

and non-financial institutions for

the period 2015-2018. The final

document, once adopted by the

Ministry of Finance will be

submitted to Moneyval, FATF and

used to educate private sector

reporting entities, and develop an

action plan for strengthening

Kosovo’s anti-money laundering

regime. (started in June 2018 and

completed in December 2018

with an aim for the Minister of

Finance to adopt it in 2019)

2.2.5 Review of completed corruption

cases to identify problems in

investigations, prosecution and

adjudication and provide

recommendations for improving the

handling of cases (ongoing since

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2.2.5 20 corruption cases thoroughly

reviewed, deficiencies identified and

recommendations provided

2.2.6 All ongoing disciplinary cases until

2017 reviewed

August 2018 and will continue

through 2019, 20 cases currently

under in depth review)

2.2.6 Capacity enhancement of the Office

of the Disciplinary Prosecutor to

effectively & efficiently investigate

allegations of misconduct by judges

and prosecutors (supported

through 3 legal researchers and

20 interns to help with reviewing

cases till 2017, work with the

ODP completed in 2018). N.B. All

work has ceased due to the adoption

of new Law in 2018 that will transfer

the mandate to another body.

Output 2.3 Effective institutional

communication on corruption cases

established

Indicators:

2.3.1 KACA Communication strategy

developed, number of PR events with

CSOs and the media by 2020

ACTIVITY RESULTS

2.3.1 Development of communication

strategy and public relations events

held for the KACA (strategy

completed in 2017, 2 PR events

with media and CSOs held in

2018).

Office of the Chief Prosecutor

KACA

Kallxo

Embedded

adviser within

the Office of the

Chief Prosecutor

(2017-2020)

Embedded

adviser within

the KACA on

communications

(2017-2018)

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2.3.2 Communication strategy adopted by

the Chief Prosecutor

2.3.3 Number of spokespersons appointed

within the prosecution services

Baseline:

2.3.1 No communication strategy within

KACA, and no PR events with CSOs

and the media

2.3.2 No communication strategy within the

Prosecution

2.3.3 No appointed spokespersons within

the prosecution offices

Targets:

2.3.1 KACA Communication strategy

developed, at least 6 PR events with

CSOs and the media by 2020

2.3.2 Communication strategy adopted by

the Chief Prosecutor

2.3.2 Development of communication

strategy within the Prosecution

(communication strategy

developed in 2018,

implementation ongoing till

2020)

2.3.3 Spokespersons (10 in total have

been appointed) within each

regional prosecution office trained

on public speaking (2 workshops

held in 2018, implementation

ongoing till 2020)

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2.3.3 At least 4 spokespersons appointed

within the prosecution services

Outcome 3: Civic engagement mechanisms to hold institutions accountable strengthened

Outcome indicators:

3.1 Number of cases of corruption identified, processed and made public through kallxo.com

3.2 Number of viewers of kallxo.com media products on corruption (TV shows, online articles)

3.3. Number of institutions publishing budgets and expenditures in a user friendly format on a regular basis

3.4 Number of active GOPAC members and public sessions held

Baseline:

3.1 250 corruption cases in 2015

3.2 Check with kallxo, reports

3.3 0 user friendly budgets and expenditures published (check with GAP)

3.4 9 in December 2016, 1 public launch of the chapter

Target:

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3.1 Maintain or increase number of cases processed per year (status: check with KAllxo)

3.2 Number of viewers maintained or increased per year (status: check with KAllxo)

3.3 30 municipalities and all anti-corruption institutions publish in user friendly format (status: check with GAP)

3.4 10 active GOPAC members, and 3 annual public sessions (status: 9 members in 2016, 4 members in 2018 – number dropped due to

elections; 1 public event in 2016 launching the chapter, 2 in 2017 on anti-corruption journalism award and gender based budgeting with

women’s caucus, 1 in 2018 on promotion of SDG manual in Albanian and Serbian and Discussion on Anti-corruption Legislation with MPs

and CSOs)

Sources of verification:

3.1 Kallxo reports

3.2 Kallxo reports

3.3 GAP reports

3.4 Internal monitoring reports

INTENDED OUTPUTS

INDICATIVE ACTIVITIES RESPONSIBLE PARTIES INPUTS

Output 3.1: Civic engagement platforms for

corruption reporting, referral and

monitoring supported

Indicator:

3.1.1 % of cases processed by Kallxo.com

Baseline:

ACTIVITY RESULTS

3.1.1 Kallxo.com platform is strengthened

further (on-going till end of the

project)

Kallxo

Implementing

partner

agreement with

kallxo through

2020

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3.1.1 90% of cases reported on Kallxo.com

are processed and 10% verified

(2015)

Target:

3.1.1 All cases verified by Kallxo.com

Research Unit by 2020

Output 3.2: Public awareness and

communication products

developed and publicized

Indicator:

3.2.1 Number of viewers of the TV show the

Prosecutors and number of viewers

increased

3.2.2 Number of participants voting for the

best anti-corruption journalism award

3.2.3 GOPAC Chapter and Legislative Committee organize at least 4 public hearing events on anti-corruption

3.2.4 Number of innovative awareness raising

measures on anti-corruption reaching out to

citizens conducted

3.2.5 Number of citizens actively engaging in

anti corruption measures –

ACTIVITY RESULTS

3.2.1 TV show “The Prosecutor” about

how prosecutors undertake

corruption investigations aired (8

episodes aired in 2018, on-going

till 2020).

1.2.2 International Anti-corruption

Day marked with public events

to raise awareness (3 annual

journalism awards in 2016,

2017, 2018 – ongoing through

2019;

1.2.3 AoK through the Legislative Committee and GOPAC Chapter provides platform for civic engagement and discussions on anti-corruption (2 Legislative Committee public hearings on TI CPI rating and annual KACA report supported in 2017, 2018; GOPAC Chapter established in 2016 and one hearing held on anti-corruption legislation and

KACA

Kallxo

Implementing

partner

agreement with

Kallxo through

2020

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submitting reports, following TV

shows - through kallxo.com

Baseline:

3.2.1 No TV show promoting and explaining

the work of prosecutors to the public

3.2.2 No award recognition for investigative

journalists who produce stories about

corruption.

3.2.3 No GOPAC Chapter in existence

3.2.4 No innovative awareness raising measures

on anti-corruption reaching out to the

youth, citizens [I think we can say this, since

there certainly was nothing like creating video

games, corruption drawing competition for

children, corruption data cuisine]

3.2.5 Number citizens actively engaging in anti-

corruption measures – submitting reports,

following TV shows - through kallxo.com

constantly increased

SDG manual in 2018, one women’s caucus public hearing on gender based budgeting held in 2016). N.B. GOPAC was established in December 2016, shortly after new elections were held and all work with the AoK was put on hold until new MPs were elected.

1.2.4

1.2.5 1 children’s drawing

competition completed 2018,

3 public discussions

completed in 2016, 2017,

2018; Game over Corruption

application competition in

2017, anti-corruption

museum and Open Data

Transparency workshop in

2016).

1.2.6 3,360 citizens filed corruption

complaints

through kallxo.com (baseline

data from September 2014);

number of Facebook followers

40,000 (baseline data from

2014); number of Facebook

followers 90,000 (baseline data

from 2016); number of

Facebook followers (September

2017 baseline data) 135,574;

166,919 Facebook followers

(baseline data September 2018);

13,940 Youtube subscribers

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Target:

3.2.1 10 “The Prosecutor” TV

shows produced and aired by 2020

and viewers constantly increased

3.2.2 3 anti-corruption

journalism awards by 2020, 3 public

roundtables organized by 2020

3.2.3 GOPAC Chapter

established and fully functioning

3.2.4 3 innovative anti-corruption

awareness raising campaigns

conducted

3.2.5 number of citizens actively

engaging in anti-corruption measures

– submitting reports, following TV

shows - through kallxo.com increased

(baseline data from September

2018)

Output 3.3 Public expenditure transparently

displayed

Indicator:

3.3.1 Number of municipal budgets

transparently presented to the public,

number of annual budgets

transparently presented to the public

ACTIVITY RESULTS

3.3.1 Citizen participation in budgeting

process through transparency, civic

education (with GAP Institute,

ongoing through 2019)

GAP Institute Implementing

partner

agreement with

GAP institute

through 2019

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Baseline:

3.3.1 No transparent public budgets

presented to the public

Target:

3.3.1 At least 10 municipal budgets

presented transparently per year, and

1 central level budget presented per

year

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Annex 1 SAEK II Offline Risk Log

PROGRAMMATIC AND INSTITUTIONAL RISKS Programme Title: Support to Anti-Corruption Efforts in Kosovo (SAEK) II

# Risk factor Likelihood Background to assessment

Impact Background to assessment Risk response if applicable / potential effect on development cooperation in context

1. Resistance to change amongst key stakeholders at central and local level reduce pace and the implementation of the anti-corruption agenda.

Likely This risk is most visible once the regulations, standard operational procedures and guidelines are already in place, but actual implementation lies ahead. Risks are almost certain to lie in not sufficient capacity of the entrusted actors to perform (which will be addressed by the Project), coupled with unwillingness to implement reforms in public administration (including the drive to open up institutions and have integrity systems in place).

Major Lack of implementation of the adopted laws and regulations coupled with low capacity for addressing the relevant issues with required rigor may impede effective roll-out of the corruption prevention initiatives (central and local level). Lack of enforcement of corruption prevention regimes by institutions will ultimately also result in lower quality assessments by local and international experts (EU Progress Report, GRECO Review, UNCAC Review) and may make the progress more prolonged. Activities at municipality level cannot be implemented in the desired form leading to partly achievement of project output and remedial actions have to be taken. Cooperation with municipalities showing a lack of commitment might have to be reviewed. Impact of advocacy and public relations work within municipalities is lessened, as Citizens are not sufficiently well informed and not able to adequately participate in municipal decision making or

While the project team will engage in continuous cooperation and communication with institutions to advocate the importance of public outreach and the potential of social media, it needs to be seen where the source of non-engagement might be. Lack of willingness should be of course be taken into account when planning additional activities with those municipalities in question. Municipalities engaged in the project as partners are fully aware of their responsibilities under the Integrity plans. This included disclosure and information requirements. Continued advocacy with municipalities is of critical importance, since the integrity chain needs to be understood well. Municipalities’ reporting requirements and obligations are integral part of the follow-up to integrity plans. Recurring issues will be stated in the project’s monitoring reports. The project will suggest several levels of escalation, when it comes to engaging municipalities that are not willing/able to fulfill their responsibilities. While the risk component dealing with capacity will be addressed through tailored and targeted training and capacity-building, the second dimension, that one of institutional political will for going the new charted course of operations, will be addressed through coupling external inputs with awareness raising and focus on drivers of change within the responsible institutions themselves. Peer pressure from neighboring countries part of Regional Anti-Corruption Initiative will also play its mitigating role. Public accountability through CSO pressure will also be used as a catalyst for change.

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monitoring. This has also repercussions for the overall satisfaction of citizens with the municipalities. Moreover, lack of capacity of the Anti-Corruption Agency (KACA) to carry out its mandate puts additional burden on the project and does not guarantee sustainability. Changes in the leadership of the KAA during 2016 will be important to the future direction of the Agency in some respects and therefore details on their involvement in future assistance can only be developed once this occurs and levels of support from the new management can be determined.

The project will provide expert advice and training to enhance capacities of KACA further in international management standards thus ensuring sustainability of activities beyond the project. The project will, moreover, ensure clear communications of the project and delivery of the core message of ownership and ultimate responsibility of the main project partners and beneficiaries part of the corruption prevention architecture. Provide enough flexibility within the project to make sure that if the preferred modus operandi fails, then alternative paths are chosen to keep implementation on track and avoid image risk. Ensure adequate coordination with other donors in the sector. In the past the project aimed to strike a balance by supporting overall KAA institutional development, but past experiences made it clear that it is better value to focus on the areas of KAA mandate. UNDP will continue to engage with the other stakeholders, in close partnership with KAA, in its role as primary counterpart for the current project. Once the new leadership has been determined, the programmatic implications of any changes in the structure or mandate of the institution will be addressed as soon as possible (SCC External Review Recommendation 9).60

2. Coordination of anti-corruption bodies, political competition and internal frictions between interest groups significantly reduce the pace and scope of implementation of anti-

Likely This risk may manifest itself as delayed discussions at political level once decisions are necessary to adopt rules, regulations and standard operational procedures to strengthen the mandate of KACA on conflict of interest, assets declaration,

Major The absence of the strategic and systemic approach on anti-corruption by institutions produces overlap and no visible results in fighting corruption. Different systems of entering and processing data make difficult to perform analysis and identify trends. The impact may manifest itself in slower than expected elaboration

The project will serve as a facilitator of the dialogue and regular communication between all relevant stakeholders through the existing mechanisms (NCAC) and events related to project activities, donor mapping and improved reporting procedures. Project will facilitate creation of unified system of data collection and processing as a regular project activity. Strict selection of focal points in KACA and KJC which will drive the project activities and continued cooperation and communication with KACA and KJC throughout project duration.

60 Changes in the KAA leadership during 2016 and its implications

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corruption agenda.

and corruption risk assessment operational in cooperation with other anti-corruption institutions. While there has so far been general agreement on the necessity to introduce effective mechanisms for these mandates, hammering out the exact regulatory detail may take much more time and energy than generic political will.

and, importantly, agreement and adoption of the defined rules, regulations and standard operational procedures. While this situation may not preclude adoption of the necessary regulations in the long run, the pace of transformation may be suboptimal.

Focus on both drivers of change and potential spoilers in programming. Emphasize external conditionality (e.g. agreement with institutions, support conditionality). Continue to support progressive decision-makers and officials of duty-bearing institutions in their dialogue with the civil society community and citizens. To ensure that the need for change remains on political agenda of institutions SAEK will continue to implement awareness campaigns such as International Day on Anti-Corruption to provide more information on the work of anti-corruption bodies and to reward anti-corruption champions. Continuation of the chosen strategy of working openly and inclusively with all stakeholders and groups of interest is likely to shield the project, implementing institution and donor from much of the image risk. At the same time, caution and special attention need to be paid to inclusiveness, openness, political neutrality and values promulgated by the project itself so as to avoid possible image damage.

3. Judicial system continues to be politically influenced.

Likely There are no visible results in fighting corruption and law enforcement, hence, corruption will remain at high levels. Lack of follow-up and timely prosecution of cases will impact the credibility of anti-corruption efforts by all stakeholders and decrease the effectiveness of investments made through activities with the judiciary. In addition, relevant authorities have been reluctant to promulgate a separate Law for the

Major Keeping in mind the overall necessity to reform the judicial sector and Government of Kosovo’s rhetoric that rule of law is amongst its main priorities, in practice we have experiences the opposite. The government has prioritized investments in the infrastructure in terms of budgetary expenditure, while the budgetary share for the rule of law has decreased. UNDP’s and UNODC’s assessment of Judicial Integrity in Kosovo, confirmed the public perception of a judicial system with significant corruption problems and inefficiencies. This was further demonstrated in part by the large case backlog that has developed in the court system. Political influence over members of the judiciary and prosecution

Work closely with National Council for Anti-Corruption, the project will bring to the agenda of discussion the issue of political interference and engage at the same forum with CSOs and the media to hold the NCIC accountable for implementation of their recommendations. Regular advocacy from interested donor countries to the Office of the Prime Minister and the Ministry of Justice. Advocacy and lobbying with relevant stakeholders to explain the importance of a fully independent oversight mechanism for the judiciary. Regular exchange through the donor coordination mechanism, in particular with EULEX and UNODC, to obtain information on irregularities that could make activities as planned ineffective. Board meetings to make this a standing item. Support to judiciary and prosecution should be made contingent to the performance.

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Office of Disciplinary Prosecutor which affects its independence and impartiality.

services was highlighted as a key problem and one that was perceived as being directly related to the issue of corruption.

Project activities are designed with the ultimate goal of having corruption free and independent institutions, thus lowering the public perception of corruption. Adequate coordination with other donors is necessary, and their political weight should be leveraged, in order to project a concerted message of support to independence of judicial system bodies. Continue working with CSO’s to put pressure on judicial system bodies to timely perform their duties in processing of corruption cases.

4. Kosovo citizens are not sufficiently motivated to actively engage in government monitoring and public decision making.

Likely The rationale of this project is to address this particular issue and the goal of the specific public awareness component is, amongst others, to inform of the effectiveness of relevant regulations being put in place. Whereas corruption is a very multidimensional phenomenon and progress may be uneven, proper implementation of solidly-elaborated tools and mechanisms is highly likely to produce effect on improving the situation.

Major Lack of participation amongst citizens does not create the desired project impact. Should no change at all be observed or perceived, credibility of the intervention is likely to suffer and be questioned by both the core stakeholders and the public at large. Corruption remains widespread, systemic and entrenched, and impunity will generate dissatisfaction and further eroded trust to public institutions.

Closely monitor awareness raising activities and guarantee they are appealing and relevant to the target audience. Adapt strategy when necessary (for i.e. based on public pulse surveys). Project will continue to support civic engagement and empowerment, a condition in which every citizen has the means to actively engage in the public sphere. Through these means, such as our online platform to report corruption kallxo.com, the citizens can exercise their oversight role and influence government anti-corruption agenda. Project will also address the demand side of democratic governance and use the potential of proactive government transparency to generate engagement, by considering and capitalizing on the capacities of citizens, activists and civil society organizations in Kosovo. Ensure clear communications of institutions vis – a vis citizens. The project will continue to assist institutions to improve identification of corruption opportunities and threats throughout their internal organizations. Reduce opportunities for corruption within institutions and improve institutional resistance to corruption. Ensure compliance with applicable Kosovo legal and procedural requirements, as well as international norms and standards. Create/strengthen capacities their internal capacities to establish effective anticorruption mechanisms, build awareness at all levels and create co-ownership in the process of developing, implementing and monitoring integrity plans.

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5. Inadequately harmonized and / or competing donor programmes and agendas.

Unlikely This risk may manifest itself in insufficiently aligned actions of the different actors (OSCE, CoE, EU, British Embassy, USAID etc.) in the donor community, resulting in varied or even conflicting agendas for build-up of the anticorruption agenda. The overall situation remains unsolidified, and ad-hoc initiatives prevail over systematic work due. At the same time, with the current demonstrated attempts to coordinate donor efforts, it is likely that the coordination drive is going to be retained in the future.

Minor In case uncoordinated efforts emerge, this may have impact on programmatic work, including duplication of efforts or sub-optimal attention to certain areas at the expense of others.

The Project will support the efforts of strengthening of inter-institutional coordination in fight against corruption under the auspices of National Council on Anti-Corruption. Project will incorporate clear messages regarding anticorruption work into all programmatic activities, build up a recognizable and clear image of the project. Continue the good practice of exchanging information with key development partners be that at formal or informal coordination levels to avoid duplication.

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Annex 1 SAEK II Project Partnerships

Inner circle / direct beneficiary and / or primary partner

Anti-Corruption Agency (KAA)

Kosovo Prosecutorial Council (KPC)

Kosovo Judicial Council (KJC)

Office of the Disciplinary Prosecutor (ODP)

Line Ministries (Education, Health, Economic Development,

Local Government Administration, Public Administration,

Labor and Social Welfare

Middle circle / indirect beneficiary

Ministry of Justice (MoJ)

Kosovo Judicial Institute (KJI)

Kosovo Police

Tax Administration

Kosovo Customs

Financial Intelligence Unit, Auditor General, Agency for Managing

Seized & Confiscated Assets

Kosovo Bar Association

Agency for Gender Equality

Outer circle / stakeholders and wider beneficiaries

National Council for Anti-Corruption Policy under the President

Parliamentary Committee on Legislation, Mandates, Immunities,

Rules of Procedure of the Assembly and Oversight of Anti-Corruption

Agency

Parliament’s Women Caucus

Office of the Prime Minister for Legislative Affairs

Political Parties

Partnering donor agencies (OSCE, EU, Council of Europe, World Bank,

GIZ, USAID)

Population of Kosovo as a whole

Kosovo Association of Municipalities

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Annex 2 Meeting with partners on SAEK II preparation phase on 28 May 2015 List of attendants: 1. Hasan Preteni, Head of the Kosovo Agency for Anti-Corruption 2. Laura Pula, National Anti-Corruption Coordination (Kosovo Prosecutorial Council) 3. Zef Prendrecaj, Head of the Office of the Disciplinary Prosecutor 4. Ardian Rexha, Kosovo Judicial Council 5. Tea Blakaj, Kosovo Judicial Council 6. Diana Qarkagjia, Municipality of Gjakova/Djakovica 7. Fadil Miftari, Kosovo Agency for Anti-Corruption 8 Agron Demi, GAP 9. Artan Canhasi, KDI and Transparency International Kosovo 10. Visar Sutaj, KDI and Transparency International Kosovo 11. Faik Ispahiu, Kallxo.com 12. Albulena Sadiku, Kallxo.com 13. Fidan Haliti, Kosovo Police The meeting with partners, beneficiaries and stakeholders was convened as part of the consultation process under the auspices of the SAEK Project. The objective of the meeting was to validate the identified issues, challenges and interventions during SAEK consultation process in March, 2015, as part of drafting the new project proposal SAEK II. Representatives of all partner institutions attended the meeting, ranging from the main anti-corruption institutions, to the civil society and also the local government (municipalities). After the introduction of the meeting objective, UNDP staff delivered a presentation of the key expected results and activities of SAEK 2, based on the work already implemented by SAEK 1 and also based on the issues and challenges identified previously. New interventions were also introduced for discussion by all stakeholders present, whereas UNDP explained the possibility for further funding from the Swiss and Danish Government. It was also reconfirmed that the results expected to be achieved in the next phase of SAEK, is in line with the priorities set out on the Anti-Corruption Strategy of Kosovo 2013-2017, as follows:

• Institutions responsible for delivering public services and social justice are accountable and responsive to rights holders;

• Key civil society actors increasingly influence the accountability of governance for public services and social justice;

• Target Municipalities have local governance mechanisms in place promoting human rights based development.

Summary of key points: All participants agreed that the key results of SAEK up to date provide a firm ground for the support to continues, in particular towards strengthening the capacities of the municipalities to implement and monitor the integrity plans. In addition, emphasis was given to new municipalities who have approached UNDP SAEK for support in drafting integrity plans, and which are included in the next stage of the Project.

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The importance of monitoring the integrity plans was noted and emphasized by the attendants. However, due to limited capacities, the Agency for Anti-Corruption does not have the capacities to currently monitor the implementation of integrity plans of the Municipalities. Therefore, the project will empower the civil society to monitor the implementation of integrity plans, as agreed by the attendants. It was strongly recommended that support is provided to facilitate the process of exchanging information in regard to anti-corruption work. In particular, the importance of the exchange between the Agency on Anti-Corruption and other similar agencies in other countries, was restated. One of the main priorities remains to further strengthen the collaboration between CSO’s and the institutions. Although the project has facilitated periodical meetings, it was strongly recommended that efforts to improve communication and collaboration are continued. Based on the success of kallxo.com so far, the recommendation was to strengthen the platform during SAEK II, in expanding the activity of the platform, throughout Kosovo municipalities, by utilizing CSOCSOs that are already active in the region. These CSO’s will provide an extended resource of kallxo.com, whereas the citizens would report cases of corruption. Corruption proofing the legislation, as a new activity of support in the second stage of the project, is considered of outmost importance, in particular, as it will facilitate the implementation of UNCAC standards. UNCAC review is also part of the new project, which will be initiated in partnership and collaboration with the Kosovo Agency of Anti-Corruption. Specific Comments by the Attendants: Mr. Hasan Preteni, revealed that the action plan for the implementation of the KAA Strategy will be revised during 2015. Upon revision and its content, the SAEK team would then be able to further streamline future activities as foreseen by the second stage. In regard to the implementation of the strategy, Mr. Preteni stated that up to date, 54% of the strategy had been achieved. Mr. Preteni also presented a request, pertaining to the capacities of the Agency. More concretely, Mr. Preteni asked for financial assistant for one official, who had been previously supported by the CoE. It was also stated that UNDP has benefited from 12 activities that have been implemented by SAEK, as per the work plan of the project. However, Mr. Preteni also said that coordination have yet to take place, with judges, prosecutors and police. Mr. Preteni restated the need for a joint database for Asset Declaration, which will be addressed by SAEK II. Mr. Zef Prendrecaj, expressed his gratitude and that of the institution he represents, towards UNDP for the workshops organized and the support towards the creation of the database for ODP. In addition, Mr. Prendrecaj stated that additional training is required in disciplinary measures, investigation, with specific focus on the practical aspect of the investigative process. More training is necessary in interviewing witnesses as well. As for the workshops organized so far, Mr. Prendrecaj stated that while workshops have been very useful, the officials would now need a more practical approach on the specific topics as mentioned above. Mr. Prendrecaj commented on how kallxo.com has indeed been useful in gaining information regarding certain cases under investigation. He also noted that cooperation with KAA is good. In terms of future support, Mr. Prendrecaj recommends that it would be beneficiary to the institution if international advisers would be seconded in the institution to provide on job training. In addition, Mr.

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Prendrecaj stated that support of the OPD with the 4 legal officers has provided a greater efficiency in processing cases, therefore the support is of outmost importance. Regarding the new law on the OPD, the draft is submitted to the MoJ and it will be submitted for approval to the government. The law once adopted, with require the development of other regulations, whereas as noted by Mr. Prendrecaj, will call for support from UNDP. Mr. Agron Demi, from a civil society perspective, proposed that a Law on Integrity Plan, would perhaps be required in facilitating the whole process of integrity mechanisms. As Mr. Demi stated, only two municipalities with integrity plans is hardly enough and therefore strongly recommended that more municipalities should be supported. Mr. Demi viewed the involvement and activism of the MP’s of Kosovo Assembly as crucial in the general scheme of the fight against corruption. The asset declaration forms, according to Mr. Demi, require improvement, specifically, in the manner salaries are reported, and DSA’s not being reported in these forms at all. In addition, Mr. Demi recommended that contributions to the Pension Trust Fund should also be subject to declaration. Mr. Hasan Preteni replied on the forms’ discussion by stating that the questionnaires cannot be changed as the forms are drafted up based on the law. He also further explained that the asset declaration law does not need any further revision, and that there is no legal ground for checking the revenues of officials. Ms. Laura Pula, stated that more time must be committed to reflect on the document as provided by SAEK. She continued to note the great cooperation with the KAA and the CSO’s. In addition, Ms. Pula stated that the prosecution that she represents is committed to full transparency in regard to the decision they make. Mr. Faik Ispahiu, contributed to the discussion by stating that there is will for better coordination between institution, and this should be commended. Mr. Ispahiu also focused on the role of the CSO’s and the media to monitor the level of this communication and coordination between all involved stakeholders. In regard to the specific support, kallxo.com, Mr. Ispahiu stated that the platform is trusted by the people and that based on this achievement, kallxo.com should be expanded in adding more CSO’s and local media from municipalities throughout the region, as resources to which the citizens would turn to, to report corruption. Mr. Artan Canhasi, asked for better coordination between institutions. He also stated that since the adoption of the integrity plans by selected municipalities, changes were evident in the Municipality of Prishtina/Pristina and Gjakova/Djakovica respectively, in particular in procurement. As this is a good result, Mr. Canhasi stated that it should indeed be multiplied in other municipalities as well. In regard to UNCAC, Mr. Canhasi said that it is indeed a very good tool, as the EU acquis communautaire is also based on the UNCAC standards and principles. In line with legislation, Mr. Canhasi commended the support towards corruption proofing of legislation, whereas he saw the role of Parliament as crucial in the whole process. Mr. Hasan Preteni also suggested that the Ministry of Justice must be considered in its role in the corruption proofing activity.